Performance Framework Guideline
Document change history
Version
Effective date
End date
Change
Formatting: Table 10 reordered notes (p35)
Narrative:
1.2
Employment Provider Performance Framework – updated numerator for the
Time to Commence Work for the Dole / Activity performance measure (p9). Table
1 removal of Note 2, Table 5 clarified wording of the numerator for the Work for
the Dole Participation measure, new section detailing the Work for the Dole
Phase performance measures (p9), replacement of Remote Jobs and
Communities Programme with Community Development Programme (p13).
07 12 15
Quality Assurance Framework (Employment Providers) - streamlined and clarified
text on requirements for Supporting evidence (p18); Surveillance Audits (p34)
and the Reporting Schedule (p35).
Formatting: Updated table numbers and references (p33-50); updated internal
document links throughout.
Narrative:
Employment Provider Performance Framework - minor grammatical changes (p38) and clarification of definitions in Table 5 (p7).
1.1
25 08 15
06 12 15
Quality Assurance Framework (Employment Providers) - streamlined and clarified
text on requirements for Quality Standards certification (p14-15), demonstrating
adherence with the practice requirements (p16), completion of audits and
reporting (31-38), adhering to the audit and reporting schedule (p33), NonConformance Reports (p38), and submission of Corrective Action Plans (p39);
amended column headings in table 9 (p17-29); addition of references to Service
Delivery Plans in table 9 (p21, 22 and 26); replacement of Jobs, Land and
Economy Programme with Indigenous services/projects (p26); consolidation of
separate tables on audit and reporting requirements into table 10 (p33); addition
of guidance on Audit Close Meetings (p38).
Quality Framework (Work for the Dole Coordinators) – clarification of selfassessment requirements (p49); amended column headings in table 16 (p61-58);
additional question added to self-assessment form (Q3 under Principle 3, second
page of form).
1.0
1 05 2015 for
WfD
Coordinator
Services Deed
2015-2020
1 07 2015 for
the
Employment
Services Deed
2015-2020
24 08 15
Original version of document
jobactive Performance Framework Guideline
D15/678832
Effective Date: 7 December 2015
1
Explanatory Note
All capitalised terms have the same meaning as in the jobactive Deed 2015–2020. In this document, ‘must’
means that compliance is mandatory and ‘should’ means that compliance represents best practice and that
compliance is discretionary.
Disclaimer
This Guideline is not a stand-alone document and does not contain the entirety of Providers’ obligations.
It must be read in conjunction with the jobactive Deed 2015-2020 and the jobactive Deed 2015-2020 – Work for
the Dole Coordinator and any relevant Guidelines or reference material issued by Department of Employment
under or in connection with the jobactive Deed 2015-2020 and the jobactive Deed 2015-2020 – Work for the
Dole Coordinator.
Introduction
jobactive is underpinned by a sound Performance Framework based on the principles of efficiency,
effectiveness, quality and assurance. This Guideline contains detailed information on the Performance
Frameworks for each of the services delivered under jobactive. Performance Framework elements common to
all programmes are outlined in this section. The following programmes are outlined in stand-alone chapters:





Employment Provider Services
Work for the Dole Coordinators
New Enterprise Incentives Scheme (NEIS)
Harvest Labour Services (HLS)
National Harvest Labour Information Services (NHLIS).
Performance assessment and management
Principles for the assessment of performance
Though methods of assessment differ across services, the following three elements form the basis of all
jobactive Performance Frameworks:



efficiency
effectiveness
quality and assurance.
For Employment Providers, Work for the Dole Coordinators and NEIS Providers, these elements are identical to
the three contractual Key Performance Indicators (KPIs) against which their performance will be assessed.
Although Providers of HLS and NHLIS are not assessed against a set of KPIs, the performance measures used are
informed by the same performance assessment elements.
Deed compliance
The Department monitors compliance matters such as fraud, wrongdoing, invalid claims, discrimination and
other potential breaches of the Deed and will raise any concerns in a timely manner. These monitoring activities
are supported by ongoing review, contract management and a programme of regular and discrete Programme
Assurance Activities.
The Department will apply business sanctions for administrative breaches of the Deed or any of its supporting
Guidelines. A separate legal framework applies where intent to defraud the Commonwealth is proven.
Managing Performance Frameworks
Joint Charter of Deed Management
The Joint Charter of Deed Management (Joint Charter) reflects the commitments of Providers and the
Department in contributing to the effective management of jobactive. It is available on the Provider Portal and
sets out the standards for performance and conduct expected in the delivery of services according to jobactive
deeds.
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The Joint Charter is applicable to Employment Providers, Work for the Dole Coordinators, NEIS Providers, HLS
Providers and the NHLIS Provider. Providers’ performance against the Joint Charter will be assessed as part of
ongoing contract management activities and performance assessments.
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Effective Date: 7 December 2015
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Employment Provider Performance Framework
Indigenous Outcomes Targets
Relevant Deed Clause/s
The relevant clauses in the Deed are:


Clause 101.9—Indigenous Outcomes Targets
Annexure A1—Definitions (Indigenous Outcomes Targets definition).
Introduction
An objective of Employment Provider Services is to increase job outcomes for unemployed Australians with
specific targets for Indigenous job seekers.
To increase the focus of Employment Providers on improving Outcomes for Indigenous job seekers, Indigenous
Outcomes Targets form part of their ongoing performance assessment.
This Guideline sets out the rules used to assess Employment Providers’ performances against Indigenous
Outcomes Targets. As defined in Annexure A1 of the Deed, the Indigenous Outcomes Targets cover the
Employment Provider’s requisite proportion of 4 Week, 12 Week and 26 Week Outcomes for Aboriginal or
Torres Strait Islander peoples, as specified in the Department’s IT Systems.
Measuring performance against the targets
Assessments at Employment Region level
Employment Providers will be assessed against Indigenous Outcomes Targets at Employment Region level only.
Timing of performance assessments
Employment Providers’ performances against Indigenous Outcomes Targets will be reviewed at the end of each
Performance Period as part of their formal performance reviews. Providers that do not achieve their targets
may ultimately be subject to sanctions under the Deed.
Setting the targets
Each Employment Provider will have Stream level targets for each Employment Region where they are
operating. The targets will equal the proportion of Indigenous job seekers being assisted by the Employment
Provider within each Stream. In this way, the targets take account of individual Employment Provider
circumstances and caseload composition. To facilitate ease of operation, the same target will apply to each of
the outcome types (4 Week Full and Partial Outcomes; 12 Week Full and Partial Outcomes; and 26 Week Full
Outcomes) in a Stream.
Except for Performance Period 1, the targets will be set to the proportion of the Employment Provider’s
commenced caseload by Stream who are Indigenous job seekers in that Employment Region one month before
the start of the Performance Period. Employment Providers will be advised of their targets in advance of each
performance period through the Indigenous Outcomes Targets report on the Employment Services Reporting
Portal.
The setting of targets for Performance Period 1 is different in order to reflect the transition to jobactive. Interim
targets were calculated using the transition caseloads on 26 June 2015. To account for instances in which the
proportions of job seekers who commenced and were Indigenous were less than those indicated by the
transition caseloads, targets were re-calculated using the 30 September 2015 caseloads. The final targets being
the lower of the June 2015 and September 2015 targets.
While targets may be updated midway through Performance Period 1, all outcomes recorded during the period
will be included in determining actual performance levels.
The dates when Indigenous Outcomes Targets will be set for each Performance Period are shown in Table 1—
Dates Indigenous Outcomes Targets will be determined for each Performance Period.
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Table 1— Dates Indigenous Outcomes Targets will be determined for each Performance Period
Performance Period
Dates caseloads are assessed to
determine targets
Months targets are released in Indigenous
Outcomes Targets reports 1
1 (July–December 2015)
26 June 2015
6 July 2015
Interim Targets
30 September 2015 Final Targets
6 October 2015
2 (January–June 2016)
30 November 2015
December 2015
3 (July–December 2016)
31 May 2016
June 2016
4 (January–June 2017)
30 November 2016
December 2016
5 (July–December 2017)
31 May 2017
June 2017
6 (January–June 2018)
30 November 2017
December 2017
7 (July–December 2018)
31 May 2018
June 2018
8 (January–June 2019)
30 November 2018
December 2018
9 (July–December 2019)
31 May 2019
June 2019
10 (January–June 2020)
30 November 2019
December 2019
Notes:
1. Employment Services Reporting bulletins will advise when the targets have been released. The releases
are not expected to be any later than the third Monday of the month.
Determining performance
Employment Providers are expected to achieve outcomes in parity with the proportion of Indigenous job
seekers in their caseloads. For instance, if 5 per cent of the job seekers on an Employment Provider’s Stream B
caseload identify as Indigenous then at least 5 per cent of the Provider’s 4 Week, 12 Week and 26 Week
outcomes in Stream B must be achieved for Indigenous job seekers.
Assessment of performance against the targets will take into account:
 outcome claims lodged within the Performance Period with a status of approved or pending on the final
day of the period;
 Full and Partial Outcomes for the 4 and 12 Week Outcome targets; and
 the Indigenous status of job seekers at the time they were placed in the job which led to the outcome.
Performance reports
Details about Employment Providers’ targets and performance against each target are included in the
Indigenous Outcomes Targets performance report on the Employment Services Reporting Portal.
Additional information
Additional information on the Indigenous Outcomes Targets is available on the Learning Centre.
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Star Ratings
Relevant Deed clauses
The relevant clauses in the Deed are:
 Clause 99—Performance Indicators
 Clause 100—Provider Star Ratings and Compliance Indicator
 Annexure A1—Definitions (Star Rating and Compliance Indicator definitions).
Introduction
Star Ratings are used to assess Employment Providers’ efficiency and effectiveness in placing job seekers into
sustainable work and ensuring they can meet their Mutual Obligation requirements by participating in activities
during the Work for the Dole Phase. Star Ratings inform job seeker and employer choice as well as the
Department’s business review and reallocation processes.
This section of the Guideline details the methodology for calculating Employment Provider Star Ratings. Job
Services Australia performance data, including Job Services Australia Outcome claims lodged after 30 June 2015
for placements made before this date, do not contribute to the calculation of the jobactive Star Ratings.
Rolling assessment period
The Star Rating calculations use a two year rolling assessment period.
Timing
Star Ratings are calculated quarterly. However, 12 months of performance data is required for the production of
comprehensive ratings. Accordingly, the first published Star Ratings are scheduled for publication in
August 2016 and will assess the 12 months between 1 July 2015 and 30 June 2016. Table 2—Assessment Periods
for quarterly Star Ratings releases—shows the start and end dates of the periods being assessed.
Employment Providers will be given their own ratings in May 2016. These preliminary ratings will allow the
earliest possible analysis of Star Rating performance levels.
Table 2—Assessment Periods for quarterly Star Rating releases 1
Assessment Period
Quarterly Release
March 2016
1 July 2015 – 31 March 2016
(Preliminary ratings)
June 2016
1 July 2015 – 30 June 2016
September 2016
1 July 2015 – 30 September 2016
December 2016
1 July 2015 – 31 December 2016
March 2017
1 July 2015 – 31 March 2017
June 2017
1 July 2015 – 30 June 2017
September 2017
1 October 2015 - 30 September 2017
December 2017
1 January 2016 - 31 December 2017
March 2018
1 April 2016 - 31 March 2018
June 2018
1 July 2016 - 30 June 2018
September 2018
1 October 2016 - 30 September 2018
December 2018
1 January 2017 - 31 December 2018
March 2019
1 April 2017 - 31 March 2019
June 2019
1 July 2017 - 30 June 2019
September 2019
1 October 2017 - 30 September 2019
December 2019
1 January 2018 - 31 December 2019
March 2020
1 April 2018 - 31 March 2020
June 2020
1 July 2018 - 30 June 2020
Month Published
May 2016 – Not
released publicly
August 2016
November 2016
February 2017
May 2017
August 2017
November 2017
February 2018
May 2018
August 2018
November 2018
February 2019
May 2019
August 2019
November 2019
February 2020
May 2020
August 2020
Notes:
1. Any amendments to these dates will be advised on the Provider Portal.
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Publication of Star Ratings
Star Ratings are calculated at both Employment Region and Site level. From the June 2016 release, all ratings are
made available to all Employment Providers on the Provider Portal. The Site level ratings are publicly released
on two websites:
•
Australian Job Search website
•
Department of Employment website.
In addition, as part of the job seeker registration process, Department of Human Services staff are provided with
Site level ratings (from August 2016) to assist job seekers in selecting the Employment Provider to assist them.
Star Ratings methodology
Key performance indicators, performance measures and weightings
The Star Ratings assess the performance of Employment Providers against Key Performance Indicator 1
(efficiency) and Key Performance Indicator 2 (effectiveness).
Six performance measures as listed in Table 3—Performance measure weightings—are assessed along with their
individual weightings. Each Stream rating has the same measures and weightings. The 26 Week Outcomes
measure is allocated the highest weighting of 50 per cent, reflecting the most important objective of achieving
sustained Job Seeker Placements.
Table 3—Performance measure weightings
Stream level
weighting
(%)
50
Key Performance
Indicator
26 Week Outcomes – Indigenous Job Seekers
10
2
26 Week Outcomes – Time To Placement
10
1
12 Week Outcomes
10
2
Work for the Dole Phase – Participation
10
2
Time to Commence in Work for the Dole / Activity
10
1
Performance measure
26 Week Outcomes – All Job Seekers
2
Overall ratings are calculated by aggregating the Stream ratings with the weightings shown in Table 4—Overall
ratings and Stream level weightings. Stream C which provides assistance to the most disadvantaged job seekers
has the highest weighting with 40 per cent.
Table 4—Overall ratings and Stream level weightings
Weighting towards overall rating
Stream
(%)
Stream A
25
Stream B
35
Stream C
40
Adjustments to ratings may be made on the basis of Employment Providers’ Compliance Indicator scores.
Further detail will be provided as an update to this Guideline and advised on the Provider Portal.
Performance measure definitions
Table 5—Performance measure definitions—describes how the rates for each performance measure are
calculated. The denominator conditions for the 12 Week and 26 Week Outcome performance measures include
an additional two weeks to allow for cases where the outcome start date is moved forward to align with
Department of Human Services fortnightly payment periods. The 12 Week and 26 Week Outcome claims
submitted by Employment Providers count towards Star Rating calculations if they:

were lodged within the period being assessed (see Table 2)
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
have a status of approved or pending on the final day of the period being assessed (Outcomes which
have previously contributed to ratings calculations but have since been recovered are not included).
Where a proportion of all claims is deemed to be invalid under clause 29 of the Deed, individual claims,
equivalent to the proportion of each claim type to be deemed invalid, will be selected for removal from Star
Ratings calculations. Pay Slip Verified Outcome Payments will need to be finalised by the final day of the
Performance Period.
Table 5—Performance measure definitions
Performance
Numerator
measure
26 Week
Number of 26 Week Outcomes
Outcomes All Job for eligible job seekers
Seekers
26 Week
Outcomes
Indigenous Job
Seekers
Number of 26 Week Outcomes
for Indigenous job seekers
Denominator1
Stream A: Job seekers who reached three months in
Employment Services at least 28 weeks before the final
day of the Performance Period
Stream B and C: Job seekers who Commenced at least
28 weeks before the final day of the Performance Period
Stream A: Indigenous job seekers who reached three
months in Employment Services at least 28 weeks before
the final day of the Performance Period
Streams B and C: Indigenous job seekers who
Commenced at least 28 weeks before the final day of the
Performance Period
Number of 26 Week Outcomes for eligible job seekers
26 Week
Stream A: Total Period of
Outcomes Time To Service days between job
Placement
seekers’ commencement dates
or passing three months in
Employment Services
(whichever is the latest) and
their placement dates in jobs
that led to 26 Week Outcomes
Stream B and C: Total Period of
Service days between job
seekers’ commencement dates
and their placement dates in
jobs that led to 26 Week
Outcomes
12 Week
Number of 12 Week Full and
Stream A: Job seekers who reached three months in
2
Outcomes
Partial Outcomes for eligible job Employment Services at least 14 weeks before the final
seekers
day of the Performance Period
Stream B and C: Job seekers who Commenced at least
14 weeks before the final day of the Performance Period
Collaboration
Number of 12 Week Outcomes
Number of 12 Week Outcomes achieved in the assessed
Bonus
achieved in the assessed
provider’s jobs by job seekers on their own caseload
provider’s 4 jobs by job seekers
+
on another Employment
Number of 12 Week Outcomes achieved in the assessed
Provider’s caseload
provider’s jobs by job seekers on another Employment
Provider’s caseload
Work for the Dole Aggregate proportions of job
Number of job seekers that completed or exited the
Phase Participation seekers’ Annual Activity
Work for the Dole Phase with an Annual Activity
Requirements met during the
Requirement
Work for the Dole Phase
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Performance
measure
Time to
Commence in
Work for the Dole
/Activity3
Numerator
Denominator1
Aggregate values for time taken
to commence job seekers in a
Work for the Dole or other
Approved Activity as set out in
Table 5a
Number of job seekers that commenced in the Work for
the Dole Phase with an Annual Activity Requirement
Notes:
1. As Stream A job seekers who are exited from assistance before reaching three months in Employment
Services are not eligible for Employment Outcomes, they are excluded from the denominator.
2. The 12 Week Outcome performance measure also includes a bonus based on the level of collaboration
recorded. The performance score against the 12 Week Outcome performance measure will be increased
by the level of collaboration. For example, an Employment Provider achieves a score against the 12-Week
Outcome performance measure of 2 (which means their actual performance level is equal to their
expected performance level) and achieved a collaboration rate of 5 per cent. Their score for the 12-Week
Outcome performance measure after the application of the Collaboration Bonus is 2.1 (2 x 1.05).
3. The list of Activities that enable a job seeker to meet their Annual Activity Requirement is set out in the
Mutual Obligation Requirements (including Annual Activity Requirements) Guideline.
4. Assessed provider refers to the provider being assessed for the Collaboration Bonus.
Work for the Dole Phase Performance Measures
The two Work for the Dole Phase performance measures have been designed to be complementary, driving
Employment Providers to focus on ensuring that job seekers meet their Annual Activity Requirements through
participation in Work for the Dole or other approved Activities.
The Work for the Dole Phase Participation measure assesses the proportions of job seekers’ Annual Activity
Requirements met in the Work for the Dole Phase.
The Time to Commence in Work for the Dole / Activity measure assesses the time taken by Providers to
commence their job seekers in Approved Activities from the dates they commenced in the Work for the Dole
Phase. In recognition of the transition a differential approach is applied between:


job seekers who transitioned from Job Services Australia immediately into the jobactive Work for the
Dole Phase
job seekers in all other periods of assistance in the Work for the Dole Phase.
Assessment against the Time to Commence in Work for the Dole / Activity performance measure has changed
from a pass/fail assessment to a sliding scale. Table 5a—Numerator values for time to commence in Work for
the Dole / Activity performance measure—that will be awarded to an individual job seeker based on how many
business days it takes the Provider to commence the job seeker. Maximum credit will be awarded for all job
seekers who commence in an Approved Activity within five business days of commencing in the Work for the
Dole Phase. No credit will be awarded for job seekers who transitioned into the Work for the Dole Phase and
who had not commenced into a Work for the Dole or other Approved Activity within 100 business days. No
credit will be awarded for job seekers in all other periods of assistance in the Work for the Dole Phase who had
not commenced an Activity within 15 business days.
It is expected that Providers will use the time before job seekers commence in the Work for the Dole Phase to
source appropriate placements to ensure their timely commencement. This is important if job seekers are to
meet their Annual Activity Requirements within the Work for the Dole Phase. Timely commencement of job
seekers into Activities upon starting the Work for the Dole Phase will maximise the opportunities for job seekers
to meet their Annual Activity Requirements.
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Table 5a—Numerator values for time to commence in Work for the Dole / Activity performance measure
All non-transition
Transitioned into
Time taken to Commence Approved Activity after
periods in the Work the Work for the
Commencing in the Work for the Dole Phase
for the Dole Phase1
Dole Phase2
<= 5 business days
( 1 week )
1
1
6 to 10 business days ( 2 weeks )
0.66
0.8
11 to 15 business days ( 3 weeks )
0.33
0.6
16 to 20 business days ( 4 weeks )
0
0.6
21 to 40 business days ( 8 weeks )
0
0.2
41 to 100 business days ( 20 weeks )
0
0.1
> 100 business days
0
0
Yet to commence Activity and past maximum days
0
0
Notes:
1. All periods of assistance in the Work for the Dole Phase, except where the job seeker transitioned into the
Work for the Dole Phase.
2. Transitioned from Job Services Australia into the jobactive Work for the Dole Phase.
Table 5b—Worked example of the time to commence in Work for the Dole / Activity performance measure—
provides a simplified example of how the numerator values are applied. Overall, there are 160 job seekers who
commenced in the Work for the Dole Phase; 80 are those who transitioned into the Work for the Dole Phase
and the remaining 80 entered at later points. Among these, 10 non-transition job seekers who commenced
within five business days are awarded maximum numerator credits of 10 (10 * 1) while the 10 job seekers who
took between 6 and 10 days to commence are awarded credits of 6.6 (10 * 0.66) and so on.
Table 5b—Worked example of the time to commence in Work for the Dole / Activity performance measure
All non-transition periods in the Transitioned into the Work for
Work for the Dole Phase
Dole Phase
Time Taken
Commencements
Credit
Commencements
Credit
<= 5 days
10
10
10
10
6 to 10 days
10
6.6
10
8
11 to 15 days
10
3.3
10
6
16 to 20 days
10
0
10
6
21 to 40 days
10
0
10
2
41 to 100 days
10
0
10
1
> 100 days
10
0
10
0
Yet to commence
10
0
10
0
80
19.9
80
33
Total
Therefore the assessment of these 160 job seekers is as follows:

Performance Measure Numerator:
52.9 ( 19.9 + 33 )

Performance Measure Denominator:
160 ( 80 + 80 )
Collaboration Bonus
Providers are encouraged to work together by sharing vacancies with other Providers.
The Collaboration Bonus is based on the proportion of 12 week outcomes achieved from placements in the
Employment Provider’s vacancies which come from job seekers on the caseload of another Employment
Provider.
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The Employment Provider that recorded the vacancy will be entitled to the Collaboration Bonus. The job
seeker’s Provider will receive the 12 Week Outcome Payment which will also be reflected in their performance
against the 12 Week Outcome performance measure. The bonus will be calculated only at the Employment
Region level, with the result applied to both the Employment Region and Site level ratings. Separate
collaboration bonuses will be calculated for each Stream.
For the Collaboration Bonus:


The numerator is the number of 12 Week Outcomes achieved where the Employment Provider that
serviced the job seeker is different from the Employment Provider that lodged the vacancy (assessed
provider).
The denominator is the total number of 12 Week Outcomes achieved by job seekers placed in the
assessed provider’s jobs counting the job seekers on their own caseload and those serviced by other
Employment Providers.
For example, of placements in the assessed provider's jobs, 12 week Outcomes were achieved for 95 of their
own job seekers and five job seekers serviced by other jobactive providers. The Collaboration Bonus rate is
therefore 5 per cent (that is 5/(95+5)).
The Collaboration Bonus is an adjunct to an Employment Provider’s performance against the 12 Week Outcome
performance measure described in Table 5 above and is not an additional payment.
As outlined in clause 99.2(d) of the jobactive Deed 2015-2020, when assessing the performance of Employment
Providers, the Department may take into account an Employment Provider’s collaboration with other Providers
and Work for the Dole Coordinators.
Regression analysis
The Star Ratings methodology recognises that Employment Providers operate in disparate labour markets and
work with diverse job seekers. To control for differences in job seeker and labour market characteristics, the
Star Ratings methodology uses regression analysis—a standard statistical technique that accounts for different
relationships among variables. The use of regression analysis allows for fair comparison of Employment
Providers’ performances across Australia.
A separate regression model is run for each performance measure for each Stream, resulting in ‘expected’
outcome rates for each Employment Provider. These ‘expected’ rates represent what Employment Providers
could reasonably be expected to have achieved given the unique set of job seekers they assisted under local
labour market conditions. The actual Outcome rate is divided by the expected Outcome rate to derive an actualversus-expected ratio. Higher ratios contribute to higher Star Ratings.
For example, consider two Employment Providers operating in different Employment Regions. Provider 1
operates in a region with high unemployment and services a high proportion of disadvantaged job seekers.
Provider 2 operates in a region with low unemployment and services a low proportion of disadvantaged job
seekers. Both Employment Providers achieve an actual Outcome rate of 20 per cent for the Stream B 26 Week
Full Outcome performance measure. According to the results of the regression analysis, Provider 1 has an
‘expected’ outcome rate of 15 per cent, while Provider 2 has an ‘expected’ outcome rate of 25 per cent. With
regard to their ratios of actual to expected performance:


Provider 1 is performing better, with a ratio of 1.33 (0.20/0.15)
Provider 2 is performing worse, with a ratio of 0.80 (0.20/0.25).
Therefore, Provider 1 scores higher than Provider 2 on the Stream B 26 Week Outcome measure.
The job seeker and labour market characteristics which are to be accounted for in the jobactive Star Ratings
model are set out in Table 6—Job seeker and labour market characteristics. Additional characteristics may be
included for one or more of the six performance measures.
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Table 6—Job seeker and labour market characteristics
Job seeker characteristic
Description
Access to transport
Type of transport available as recorded in the Job Seeker Classification Instrument
(JSCI).
Age
Age at commencement.
Age of Youngest Child
The age of the youngest dependent child.
Allowance Type
Allowance type at commencement.
Contactability
Has access to a phone as recorded in the JSCI.
Culturally and Linguistically
Diverse
Country of birth – two groups of medium and high level of disadvantage (align with
Job Seeker Classification Instrument groupings).
Days Available
The number of days which the provider has had to place the job seeker.
Disability
Identification of any disability as recorded in the JSCI.
Early School Leaver
Identified as subject to the Early School Leavers policy.
Education Level
Highest education level as recorded in the JSCI.
Ex Offender
Identified as having had a custodial sentence as recorded in the JSCI.
Flow
Identified as being an active job seeker at the start of jobactive.
Gender
Gender.
Indigenous
Job seeker is Indigenous.
Job Seeker Classification
Instrument Score
Job Seeker Classification Instrument (JSCI) Score.
Long Term Income Support
Proportion of the preceding 10 years the job seeker was on income support (or from
the age of 15 if they are under 25).
Mature Age Volunteer
Identified as being aged 55+ and undertaking voluntary work.
Pre Release Prisoner
Has participated in a pre-release prisoner project.
Previous Work Experience
Work experience type over the previous two years prior to JSCI interview.
Transient
Number of moves to different postcodes during period of assistance.
Unemployment Duration
Unemployment duration at commencement.
Unstable Accommodation
Identified as having unstable accommodation through the JSCI.
Vocational Qualifications
Job seeker has a useful vocational qualification as identified in their JSCI.
Work Capacity Hours
Hours per week available for work as identified by the Employment Services
Assessment.
Labour market
characteristic
Description
Employment Growth
The employment growth rate of the job seeker’s Australian Bureau of Statistics
Statistical Area 4 level spatial unit.
Income Support
The proportion of the population on income support for the job seeker’s Australian
Bureau of Statistics Statistical Area 2 level spatial unit.
Low Skilled Vacancy Rate
Low skilled vacancies proportion for job seeker’s Internet Vacancy Index region.
Metro Employment Region
Job seeker is being assisted by a Metropolitan located site.
Unemployment Rate
The unemployment rate of the job seeker’s Australian Bureau of Statistics Statistical
Area 4 level spatial unit.
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Time to Commence Work for the Dole / Activity
The Time to Commence Work for the Dole / Activity performance measure is not subject to regression analysis
as performance is a function of individual Employment Provider’s level of organisation and ability to activate job
seekers, as opposed to external factors such as local labour market conditions. Providers should plan ahead of
job seekers commencing in the Work for the Dole Phase in order to perform well against the measure.
As set out under Table 5b, a Provider’s performance against this measure is calculated based off the proportion
of job seekers commenced within the time periods set out in Table 5a.
Volunteers
Volunteers are included in the rating calculations where they meet the denominator criteria described in
Table 5. Employment Providers are encouraged to complete Job Seeker Classification Instrument assessments
for Volunteer job seekers to ensure that their characteristics are accounted for in the statistical regression.
Where a Job Seeker Classification Instrument has not been completed, default values will be applied to the job
seeker’s record.
Treatment of Suspension periods
Periods of Suspension are excluded when calculating the ‘Days Available’ job seeker characteristic and
calculating the number of business days for the Time to Commence Work for the Dole / Activity performance
measure.
Treatment of job seekers who are referred to the Community Development Programme
The Star Ratings model accounts for job seekers who are transferred to the Community Development
Programme (formerly the Remote Jobs and Communities Programme)but are not immediately exited. For these
job seekers, their Community Development Programme referral dates will be deemed to be their exit dates.
Distribution of Star Ratings
A Stream performance score is calculated at Employment Region and Site level for each Employment Provider
by proportionately aggregating each of the standardised performance measure scores in line with their
weightings (see Table 3).
National average performance scores are calculated for each of the three Streams and overall using all Provider
Employment Region level performance scores across Australia. Star Ratings are then allocated by comparing
individual Employment Region or Site performance scores with the national average score. For example, scores
which are 30 per cent or more higher than the national average result in 5-Stars being awarded. The percentage
differences are referred to as Star Percentages.
Table 7—Distribution of Star Ratings—details the Star Percentage ranges which correspond to each rating.
These are subject to change by the Department over the period of the Deed.
Table 7—Distribution of Star Ratings
Star Rating
Star Percentage
5-Stars
30 per cent or more above the national average
4-Stars
Between 15 and 29 per cent above the national average
3-Stars
Between 14 per cent above and 14 per cent below the national average
2-Stars
Between 15 and 39 per cent below the national average
1-Star
40 per or more below the national average
Thresholds for calculated ratings
Stream level Star Ratings will be calculated if there are at least 20 eligible commencement records in the
denominator of the 26 Week Outcomes performance measure. If there are fewer than 20, the Stream level
rating will be imputed as described in ‘Imputed Star Ratings’, below.
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Where the denominators for the 26 Week Outcomes Indigenous Job Seekers and Time to 26 Week Outcomes
performance measures are below 20, the following business rules will be applied for these two measures to
ensure that affected Employment Providers are treated equitably.

26 Week Outcomes Indigenous Job Seekers
—If there are fewer than 20 eligible records in the denominator at the Employment Region level then
the same performance score from the 26 Week Outcomes All Job Seekers performance measure will
be allocated
—If there are fewer than 20 eligible records at the Site level then the performance score from the
26 Week Outcomes Indigenous Job Seekers performance measure at the Employment Region level
will be allocated.

Time to 26 Week Outcomes
—If there are zero 26 Week Outcomes to assess, a performance score of zero will be allocated
—If there are between one and nineteen 26 Week Outcomes at the Employment Region level then
the same performance score from the 26 Week Outcomes All Job Seekers performance measure will
be allocated
—If there are between one and nineteen 26 Week Outcomes at the Site level then the performance
score from the Time to 26 Week Outcomes performance measure at the Employment Region level
will be allocated.
Imputed Star Ratings
Overall Star Ratings can only be calculated if there is a rating for each of the three Streams. However, some
Employment Regions and sites may have insufficient data for ratings to be calculated in one or more of the
three Streams. Where this occurs, a Star Rating will be ‘imputed’ using the following methodology:


Employment Region level ratings are imputed by calculating the average Star Percentage of those
Streams that did have sufficient data
Site level ratings are imputed by using their Employment Region level Stream Star Percentages.
Performance reports
Star Rating related performance reports for jobactive will be released progressively from October 2015. The
reports will be updated weekly and will be accessible from the Employment Services Reporting site of the
Employment Community Service Network. Employment Providers will have full access to performance data for
their own Employment Regions and Sites and aggregated data for all Employment Providers operating in each
Employment Region. The performance data will include the following for each of the six performance measures:



numerators, denominators and rates for an Employment Provider’s Employment Regions and sites
summary information, such as averages, for all Employment Providers by Employment Region and
nationally
a relative ranking tool.
Additional information
For additional information on the Star Ratings go to:



the Learning Centre
the Provider Portal
the Department of Employment website.
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Quality Assurance Framework
Relevant Deed clause/s
The relevant clauses in the Deed are:


Clause 98—Quality Assurance Framework conformance
Clause 99—Performance Indicators
Introduction
Certification under the Quality Assurance Framework (QAF) recognises that the quality of service delivery is
integral to provider performance and should contribute to the overall professionalism of the sector.
The QAF comprises:


Quality Principles developed by the Department against which an Employment Provider must provide
evidence to demonstrate the delivery of quality Services to Stream Participants, Employers and the
Department and
certification against one of the Department’s approved Quality Standards: ISO9001; the National
Standards for Disability Services, or the Employment Services Industry Standards.
All organisations contracted under the Deed to deliver Employment Provider Services must:


achieve certification under the QAF by 5.00 pm local time in Canberra, Australia, on 1 July 2016 or any
other date Notified by the Department and
maintain the currency of the QAF certificate throughout the Deed period.
Certification against the QAF involves achieving and maintaining certification against a Department-approved
Quality Standard and adherence to the Department’s Quality Principles in accordance with this Guideline.
In order to achieve and maintain certification against the QAF, Quality Auditors must be engaged to audit and
report on the Employment Provider’s:


certification against the relevant Quality Standard, and
adherence to the Quality Principles.
The Quality Standards
The Quality Standards approved by the Department under the QAF are outlined in Table 8—Approved Quality
Standards under the Quality Assurance Framework.
Employment Providers must choose one of these Quality Standards to be certified against as part of their
certification under the QAF.
Some organisations may conduct business in addition to the Department’s outsourced Employment Services.
For example, they may deliver Disability Employment Services or state-based community services. Those areas
of the Employment Provider’s business are outside the scope of Quality Standards certification for the purposes
of the QAF.
Table 8—Approved Quality Standards under the Quality Assurance Framework
Standard
Details
ISO 9001
ISO 9001 is an internationally recognised Quality Standard that promotes a quality
management system as an integral part of an organisation’s operations. ISO 9001 is
recognised in Australia as an appropriate continuous improvement tool for use by a
range of industry sectors.
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Standard
Details
Employment Services
Industry Standards
(ESIS)
The ESIS are Quality Standards developed by the National Employment Services
Association (NESA) for the Australian Employment Services industry.
National Standards for
Disability Services
(NSDS)
The NSDS were revised in 2013 and provide the basis for the Disability Employment
Services Quality Framework.
Note: The quality standard - Investors in People (IiP) - has been removed from the list of approved Quality
Standards as Investors in People Australia has withdrawn from the Quality Assurance Framework. As such IiP is
no longer available for Employment Providers to use as part of their Quality Assurance Framework certification.
Employment Providers which have gained IiP certification prior to the start date of this Guideline are advised to
email esqaf@employment.gov.au to discuss their QAF certification requirements.
Quality Standards Audits
Quality Standards Audits must be undertaken according to the requirements of the chosen Quality Standard,
including those concerning the sampling methodology used, the timing and frequency of audits and the scope.
Note: Where Quality Auditors do not use the sampling requirements of the Disability Employment and Enterprise
Services Scheme for Quality Standards Audits against NSDS, they should use the sampling methodology outlined
in ‘Quality Principles Audit Sampling’ on page 36.
Quality Auditors may choose to complete Quality Standards Audits and Quality Principles Audits in a single audit
process for an Employment Provider where the Audit Schedules (see ‘Audit and Reporting Schedule’ below) for
both coincide.
Any Non-conformances identified during a Quality Standards Audit must be addressed in accordance with the
requirements of the relevant Quality Standard and with this Guideline. Refer to ‘Non-conformance’ on page 41
for further information.
Quality Standards Reports
Quality Auditors must satisfy the reporting requirements of the relevant Quality Standard under which the
Employment Provider is seeking certification as well as the reporting requirements under clause 98 of the Deed.
As part of a QAF Certification or Surveillance Audit, Employment Providers must submit their latest Quality
Standards Report to the Department in accordance with the ‘Audit and Reporting Schedule’ on page 5.
Given the similarities between the Quality Standards and the Standard Centric Principles, a Quality Auditor may,
as described in ‘Quality Principles Reports – Certification Reports’ on page 39, address the Standard Centric
Principles during a Quality Standards Audit and capture relevant detail in the Quality Standards Report.
Further, within 10 Business Days of receipt from a Quality Auditor, Employment Providers must supply to the
Department, a copy of any additional Quality Standard Reports received.
Quality Standards Reports should be clear, consistent and accurate to assist the Department in determining
whether an Employment Provider has met, or continues to meet, the QAF requirements.
Maintaining Quality Standard certification
Once achieved, Employment Providers must maintain continuous certification against a Quality Standard by
fulfilling all auditing obligations and reporting requirements in accordance with the rules of the relevant Quality
Standard. If an Employment Provider’s certification against the Quality Standard is suspended and/or lapses for
any reason, including in relation to non-conformance, the Employment Provider must Notify the Department
within 10 Business Days.
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Employment Providers may choose to change to a different Quality Standard. However, in order to maintain
certification against the QAF, Employment Providers must, amongst other things, maintain continuous
certification against an approved Quality Standard.
If an Employment Provider changes to a different Quality Standard, they must achieve certification against the
new approved Quality Standard before their certification against the previous Quality Standard expires.
The Quality Principles
The Department has developed the Quality Principles as a basis for measuring quality and improving services
delivered to Stream Participants, Employers and the Department. While the Quality Standards establish a
foundation of quality management, the Quality Principles bridge the gap between the requirements of the
Quality Standards and the qualitative aspects of the Deed. Employment Providers must demonstrate through
Quality Principles Audits their adherence to each of the Quality Principles as part of their QAF certification.
The Quality Principles have been designed to cover the minimum requirements for delivering quality
Employment Services. Consistent with each of the Quality Standards, there is a strong focus on continual
improvement, reflecting the competitive nature of the market.
Standard Centric Principles
Quality Principles 1 (Governance), 2 (Leadership) and 3 (Staff) align closely with each of the Quality Standards
under the QAF. Therefore, these principles have been designated ‘Standard Centric Principles’. To avoid undue
administrative burden, a Quality Auditor may use the Quality Standards to demonstrate adherence to the
Standard Centric Principles.
Further information about using the Quality Standards to demonstrate adherence to the Standard Centric
Principles is contained in ‘Quality Principles Reports’ on page 39.
Quality Principle 1—Governance
This principle relates to governing effectively and ensuring efficiency through corporate arrangements
and management systems. These systems support practices that optimise outcomes for the
Employment Provider and its client groups, including appropriate planning strategies that support and
improve organisational effectiveness.
Quality Principle 2—Leadership
This principle relates to effective leadership that establishes a given organisation’s direction and
purpose and supports a positive organisational culture and reputation.
Quality Principle 3—Staff
This principle relates to each employee having the relevant skills and competency to successfully
undertake their role. Plans and mechanisms should be in place to identify these skills and competencies
and to ensure that they are maintained and enhanced through training and development.
Deed Centric Principles
All Deed Centric Principles are required to be addressed and reported on during all Quality Principles Audits
unless advised by the Department (for example, during Extraordinary Audits).
Quality Principle 4—Participants
This principle relates to a given organisation having mechanisms and strategies in place to ensure that
each Participant receives a service tailored to meet their individual needs and, where appropriate,
personal goals. The organisation should undertake a process of planning, implementation, review and
adjustment to facilitate the achievement of these goals, in line with programme eligibility.
Quality Principle 5—Labour market, Employers and community
This principle relates to the Employment Provider and its staff having a clear understanding of the local
labour markets in which it operates. The organisation should engage effectively with Employers,
complementary service Employment Providers and other stakeholders that assist participants to achieve
their goals.
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Quality Principle 6—Operational effectiveness
This principle relates to the organisation adopting operational systems of good quality that ensure
effective service delivery.
Quality Principle 7—Continual improvement
This principle relates to the Employment Provider having a systematic approach to improving all aspects
of its operations. There should be an effective internal audit function that identifies and promotes
opportunities for improvement.
Supporting evidence
The Quality Principles are supported by Table 9—Supporting Evidence—which sets out the minimum evidentiary
requirements for each Quality Principle.
The Employment Provider must determine and provide sufficient relevant evidence to demonstrate adherence
with each practice requirement. This includes meeting each element of the minimum evidence requirements (as
outlined in by Table 9—Supporting Evidence) in demonstrating conformance with each practice requirement.
Please note that where relevant some practice requirements may not be entirely satisfied by the existence of
policies or procedures alone. In these instances, Employment Providers must demonstrate that the policies and
or procedures are being followed.
Evidence can be presented in many forms, including (but not limited to):




hard copy—signed forms or records of attendance
electronic—comments recorded in the Department’s Employment Services System or the Employment
Provider’s third-party IT System
observed—staff meeting with Participants or staff demonstrating a process
interviews—staff and/or Participant’s confirmation of ability or service delivery and satisfaction.
Key performance measures
Each Quality Principle has been broken up into a set of Key Performance Measures (KPMs). The KPMs set out
the evidentiary elements underpinning the Quality Principles and provide the basis by which Employment
Providers can demonstrate adherence to the Quality Principles.
Practice requirements
Each KPM contains one or more practice requirements. Employment Providers must meet each practice
requirement contained under the KPM to demonstrate conformance to the KPM.
Currency of evidence
The purpose of each audit is to assess the policies and procedures currently in operation. Therefore, any
evidence submitted by the Employment Provider to demonstrate adherence with the Quality Principles must be
reflective of those policies and procedures.
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Table 9—Supporting Evidence
Principle 1—Governance
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 1.1
1.1.1.
a) There are sound arrangements in place for the ongoing operation of the organisation’s governing body:
Corporate governance and
management systems satisfy
legal and contractual
requirements that withstand
public scrutiny.
The Employment Provider’s corporate
governance arrangements promote
confidence that Employment Services are
being delivered effectively.
i.
There is evidence that members or directors demonstrate an understanding of responsibilities
and accountabilities, including ethical, legal and contractual requirements.
ii. There are clear processes for the escalation of matters to the governing body.
iii. There are documented procedures on how the board operates and records its governance
function—for example, procedures cover frequency of meetings, recording of minutes and
management of conflicts of interest.
b) Corporate planning includes integrating internal business services and systems to support the delivery
of Employment Services:
i.
Organisational charts outline how business services interlink to assist in the delivery of
Employment Services.
ii. Corporate or business plans ensure that staffing levels and expertise are commensurate with
caseload levels.
1.1.2.
The Employment Provider has in place
appropriate procedures for decision
making that outline the authority or
delegations within the organisation that
support staff in carrying out their roles
and responsibilities.
1.1.3.
The Employment Provider has in place
mechanisms that ensure the ongoing
financial health of the organisation.
a) There are appropriate documented decision-making procedures in place that include decision-making
matrices (financial and administrative):
i.
There is evidence of the communication of these processes and procedures to staff.
ii. Staff and management can demonstrate that these processes have been implemented and are used
in day to day operations.
iii. The Employment Provider can demonstrate how it monitors adherence to these procedures and
the action taken to address any gaps or mitigate further incidents.
a) The organisation can demonstrate how it maintains financial control:
i.
There is evidence of an appropriate financial management system.
ii. There is ongoing review of the organisation’s financial position, including the regular review of
financial statements.
iii. There is evidence of annual financial audits that provide assurance on financial management of
systems and processes.
KPM 1.2
1.2.1.
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a) Risk management arrangements include:
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The Employment Provider has
appropriate risk management
procedures in place that
manage workplace and
environmental risks, including
disaster recovery plans.
The Employment Provider has in place
corporate governance arrangements that
manage risk.
i.
documented processes for identifying and managing risk
ii. organisational and Site risk management plans
iii. evidence of regular review of risk management plans.
b) The Employment Provider has a documented fraud control plan, which refers to:
i.
clear arrangements for staff to notify management of potential fraud
ii. the Department’s tip-off line contact details
iii. ensuring staff awareness of fraud prevention, including training
iv. appropriate treatment for any alleged or actual instances of fraud or misconduct that has been
identified, including the documentation of treatment plans.
c) There is evidence of the application of fraud detection strategies as outlined in the Fraud Control Plan.
d) There is accurate record keeping and document control:
i.
Procedures relating to document control are implemented and understood by all staff.
ii. All forms and documents use version control and are kept up to date.
iii. Out-of-date material is not used by staff.
Principle 2—Leadership
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 2.1
2.1.1.
a) There is an organisational vision statement that outlines the organisation’s mission and values.
All employees have a shared
understanding of the
Employment Provider’s
direction, including the vision
and purpose that directs the
organisation.
The Employment Provider has a clear a
purpose and vision.
b) Staff understand the vision and direction of the organisation:
i.
Team objectives align with organisational direction and vision.
ii. Staff understand how their roles link to the objectives of the organisation.
2.1.2.
The organisation has in place appropriate
strategic and operational planning
practices that facilitate quality
management and improve organisational
effectiveness.
KPM 2.2
2.2.1.
The Employment Provider has
The Employment Provider’s code of
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a) There are strategic and operational plans that are current. They:
i.
are relevant to the Employment Provider’s purpose and vision
ii. include performance objectives and reporting mechanisms
iii. include strategies for achieving Employment programme outcomes.
b) Staff are involved, where appropriate, in the development of strategic and operational plans.
a) The Provider has in place a code of conduct that:
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an organisation code of conduct
that is clearly promoted,
followed and upheld.
conduct is promoted, easily located,
followed and upheld by the organisation.
i.
includes a set of values that outlines the expectations placed on staff within the organisation
ii. is easily located by staff
iii. requires staff to act in a manner that withstands public scrutiny.
b) The code of conduct is communicated effectively throughout the organisation:
i.
The Employment Provider can demonstrate how it promotes the requirements of the code of
conduct to staff.
ii. Staff can accurately describe the requirements of the code of conduct.
iii. Where a breach of the code of conduct occurs, it is appropriately managed and action is taken to
prevent it from reoccurring.
KPM 2.3
2.3.1.
Internal communication
strategies by the organisation
ensure consistent messaging,
encompass people at all levels
and in turn promote a positive
organisational culture and
reputation.
Communication and sharing of
information occurs systematically
throughout the organisation.
a) Internal communication procedures are in place that ensure the accurate sharing of knowledge and
information throughout the organisation:
i.
The Employment Provider can demonstrate procedures that ensure a regular flow of accurate,
timely information.
ii. The Employment Provider can demonstrate that communication procedures are followed.
b) The sharing of information is systematic across all Sites:
i.
The Employment Provider can demonstrate how they ensure that all Sites are provided with
consistent information.
ii. Staff can describe how they access and receive information from the organisation.
Principle 3—Staff
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 3.1
3.1.1.
The Employment Provider’s
human resource policies ensure
that there are systems in place
to support staff in the delivery
of Employment Services.
Staff understand the skills and
competency requirements needed to
successfully undertake their role.
a) The Employment Provider has documented job descriptions that include statements of the skills and
competencies required for the position, including cultural competency skills.
3.1.2.
The Employment Provider has in place
merit-based recruitment and selection
procedures.
a) Recruitment and selection practices:
i.
are documented
ii. reflect the core competencies and skill attributes of the job description
iii. encourage workplace diversity and cultural competency
iv. require referee reports as well as current police checks and Working with Children Checks (where
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relevant).
b) The Employment Provider can demonstrate adherence to these policies at individual Sites.
3.1.3.
The Employment Provider has in place
effective induction policies and
procedures.
KPM 3.2
3.2.1.
The Employment Provider has a
structured approach to
developing staff and an
effective performance
management system.
The Employment Provider has a staff
training and development strategy in
place.
a) The Employment Provider has a documented induction programme that:
i.
outlines what is required of inductees, supporting staff and managers during the induction
process
ii. is in operation and is regularly reviewed and updated.
a) The staff development strategy:
i.
incorporates details of the organisational plan for the ongoing training and development of all
staff
ii. is informed by internal and external audits and/or reviews
iii. contains strategies for identifying skill gaps.
3.2.2.
The Employment Provider’s performance
management system results in the
ongoing development of staff.
a) The Employment Provider has a documented performance management system in place that outlines:
i.
the methods and timing for providing ongoing individual feedback to staff
ii. the frequency and documentation required for performance appraisals, particularly where there
is skill or competency deficiency identified.
b) The Employment Provider can demonstrate that performance management policies are followed:
i.
All staff are given timely and relevant performance feedback.
ii. Performance appraisals are conducted in accordance with the performance management policies.
iii. Corrective action has been taken if skills or competency deficiencies or underperformance has
been identified.
Principle 4—Participants
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 4.1
4.1.1.
a) The Employment Provider’s communication strategy includes:
The Employment Provider has
strategies in place that result in
effective engagement with
Stream Participants.
The Employment Provider has a
communication strategy in place to
engage with Stream Participants.
4.1.2.
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i.
a variety of communication methods
ii. a guide to the frequency of contact between the Employment Provider and Stream Participants
that is line with the Service Guarantee and Service Delivery Plans.
a) The Employment Provider has procedures in place to conduct regular caseload monitoring across all
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The Employment Provider regularly
reviews its caseload to ensure job seeker
engagement.
sites and address any emerging issues. These procedures include reviewing the caseload to ensure:
i.
timely activation of Stream Participants from date of referral
ii. the timely commencement of Stream Participants into Work for the Dole and other relevant
activities
iii. prompt re-engagement of Stream Participants following Suspension and exemption periods or
following incidents of not meeting their Mutual Obligation Requirements.
b) The Employment Provider has a strategy in place to maintain engagement with Stream Participants in
Employment. The strategy includes:
i.
support to Stream Participants to ensure they remain in Employment for the length of the
payment period
ii. prompt re-engagement of Stream Participants who fall out of Employment.
4.1.3.
The Employment Provider has
compliance procedures in place that
ensure job seeker participation.
a) The Employment Provider’s compliance procedures outline when the reporting of non-attendance or
non-compliance in relation to Mutual Obligation Requirements should occur and include:
i.
the need to consider complex issues and Reasonable Excuses before reporting incidents of
non-compliance
ii. the job seeker appeal process for compliance decisions.
b) The Employment Provider can demonstrate that the compliance procedures are consistently applied
across all Sites.
KPM 4.2
4.2.1.
Employment services are
delivered to Stream Participants
that assist them to become
work ready and gain sustainable
Employment, in line with
individual programme eligibility
and the Employment Provider’s
service delivery model.
The Employment Provider delivers
services in line with the Service
Guarantee, its Service Delivery Plans and
the Joint Charter of Deed Management
(Joint Charter).
a) The Employment Provider has documented policies and procedures that reflect the servicing strategies
outlined in the Service Guarantee and its Service Delivery Plans.
b) Staff can describe the obligations outlined in the Service Guarantee, its Service Delivery Plans and the
Joint Charter.
c) Staff can demonstrate an understanding of these procedures and correctly apply them to individual
Stream Participants.
4.2.2.
a) Staff are able to describe the various programmes and eligibility requirements.
Staff understand the eligibility criteria for
individual Employment Services
programmes and can identify the Mutual
Obligation Requirements and compliance
requirements for individual Stream
b) Staff can demonstrate that they are able to identify the varying circumstances and participation Mutual
Obligation Requirements of individual Stream Participants.
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Participants.
4.2.3.
Staff undertake assessments of a job
seeker’s circumstances that focus on
assisting the job seeker to become work
ready and gain sustainable Employment.
a) The job seeker assessment includes:
i.
complex issue identification and treatment
ii. identification of employment goals
iii. identification of skill and development needs
iv. active job matching and referral to suitable Employment.
4.2.4.
The Employment Provider has a variety
of strategies in place for promoting a
wide range of Employment opportunities
to Stream Participants.
a) Staff can describe the practical examples and strategies they use to promote a wide range of
Employment opportunities to Stream Participants, including:
i.
evidence of marketing activities that target specific local industries
ii. advice on job searching methods
iii. advice on government incentives such as Relocation Assistance to Take Up a Job
iv. how the Employment Provider promotes its sourced vacancies to Stream Participants.
KPM 4.3
4.3.1.
Job Plans set out an
individualised Employmentorientated action plan for each
job seeker.
Plans are tailored to the job seeker. They
contain activities that will satisfy the job
seeker’s Mutual Obligation Requirements
(where relevant) and assist the job
seeker to become work ready and gain
sustainable Employment.
a) All Stream Participants have an individual and up-to-date Job Plan, which has been signed and agreed
to by the job seeker and recorded on the Department’s IT Systems. There is evidence of regular review
and modification in accordance with internal procedures.
b) The Job Plan contains:
i.
the number of job searches that must be undertaken by the job seeker each month
ii. current, time-specific activities for the job seeker to complete
iii. activities focused on securing and maintaining Employment.
c) The Employment Provider has a systematic approach to ensuring that Stream Participants fulfil the
requirements of their individual Job Plans, including:
i.
ensuring that Stream Participants apply for and accept suitable roles
ii. ensuring that job seeker mutual obligations are being met
iii. where a job seeker has failed to comply with their Mutual Obligation Requirements, considering
appropriate strategies for engagement and, as appropriate, taking timely action under the
compliance framework.
KPM 4.4
4.4.1.
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a) The organisation has processes in place for monitoring job seeker satisfaction with the Employment
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The Employment Provider’s
service delivery strategy
incorporates policies and
procedures that measure job
seeker satisfaction, support
Stream Participants in the
raising of complaints and are in
line with the Deed and
Guideline.
The Employment Provider has strategies
in place for monitoring job seeker
satisfaction with the Employment
services delivered.
services delivered. These strategies:
i.
are undertaken as planned
ii. inform service improvement.
b) Stream Participants confirm that they have received tailored services from the Employment Provider:
i.
Service Guarantees are prominently displayed at Site and supplied to the job seeker.
ii. Job seeker feedback on services received reflects the Provider’s commitments as outlined in the
Service Guarantee and confirms that services have been tailored to meet their individual needs.
c) The Provider collates organisation-wide information on feedback and complaints received, and uses
the findings to continually improve service delivery.
4.4.2.
The Employment Provider’s policies and
procedures support the raising of
complaints and feedback, with no fear of
retribution, and facilitate complaints
resolution.
a) The Employment Provider has in place documented policies and procedures to support the raising of
complaints and feedback. The policies detail:
i.
how complaints and feedback are used to improve service delivery
ii. how the outcome of a complaint is communicated to the complainant
iii. escalation procedures.
b) The complaints and feedback process is implemented consistently across the organisation:
i.
Staff can readily access the complaints procedure and can articulate the process.
ii. Complaints are referred to the Department of Employment when required.
iii. Staff complete training on the complaints handling process
iv. Complaints are investigated by an appropriately senior staff member.
c) Records of complaints are maintained and include:
i.
detailed information relating to the complaint, including the date of the complaint and the Site to
which the complaint relates
ii. steps taken to resolve the complaint
iii. the outcome of any investigation
iv. any follow-up action required.
d) The Employment Provider’s feedback mechanism is open and transparent:
i.
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Stream Participants are aware of feedback and complaints procedures and feel comfortable to
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ii. Feedback from Stream Participants indicates that complaints lodged have or are being resolved.
Principle 5—Labour market, Employers and community
Key performance measure
Practice Requirement
KPM 5.1
5.1.1.
The Employment Provider
identifies and incorporates local
labour market knowledge into
service delivery.
The Employment Provider has strategies
in place to incorporate labour market
knowledge to assist staff to achieve
Employment outcomes.
Minimum Evidence Requirements
a) The Employment Provider has documented labour market plans that demonstrate how local, regional
and national labour market information is used to determine:
i.
details of prime industries
ii. areas of current and future Employment growth
iii. skill shortages.
5.1.2.
The Employment Provider identifies the
cohort groups it services and implements
specific strategies that assist these
Stream Participants into Employment.
a) The Employment Provider has in place documented strategies that assist staff in tailoring Employment
services to different cohort groups. Cohort groups include, but are not limited to:
i.
Indigenous Australians
ii. people subject to stronger participation incentives
iii. people of different age groups
iv. people of culturally and linguistically diverse backgrounds
v. people with a disability
vi. parents or primary carers.
b) The Employment Provider can demonstrate that the strategies assist in securing Employment
outcomes for Stream Participants.
c) Staff apply these strategies for engaging and servicing different cohort groups in their Employment
Region.
5.1.3.
The Employment Provider has in place
strategies that assure the cultural
competence of staff.
a) The Employment Provider’s policy and procedures demonstrate a commitment to culturally
appropriate service delivery.
b) Staff are trained to deliver services in a culturally sensitive way, including to Aboriginal and Torres
Strait Islander Stream Participants.
c) The Employment Provider has in place policy and procedures for accessing interpreting services:
i.
Staff can accurately describe procedures and how they are used.
ii. There is evidence of professional interpreters being engaged, where appropriate, to address
Stream Participants’ needs.
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KPM 5.2
5.2.1.
The Employment Provider has a
systematic approach to
servicing the needs of
Employers. There is evidence of
ongoing relationships with
Employers that deliver
Employment outcomes for
Stream Participants.
The Provider has in place proactive
strategies for meeting the needs of
Employers.
a) Management can demonstrate how they maintain relationships with Employers and Employer groups.
There is:
i.
active marketing to Employers both of Employment Provider Services and of individual Stream
Participants
ii. evidence of Employer networks and/or databases.
b) Staff can describe how they source vacancies and match and place Stream Participants into
Employment including any related strategies outlined in Service Delivery Plans. This involves staff:
i.
accurately assessing the needs of Employers
ii. matching the needs of Employers with skills of the Stream Participants on their caseload
iii. providing ongoing assistance to Employers, for eligible Stream Participants post placement, to
improve Employment outcomes.
c) Management can describe how they tailor Employment solutions to Employers by:
i.
supplying information to Employers on government incentives available to the Employer,
including wage subsidies and the Restart Programme
ii. facilitating and/or participating in industry strategies, where available, to assist Employers to
meet skill shortages.
d) Management can demonstrate collaboration with other Employment Service Providers to meet the
needs of Employers.
KPM 5.3
5.3.1.
There are effective relationships
developed and maintained with
Work for the Dole Coordinators,
other Employment Providers
and organisations that deliver
complementary services.
The Employment Provider maintains an
effective and regular relationship with
Work for the Dole Coordinators.
5.3.2.
The Employment Provider can
demonstrate linkages with Activity Host
Organisations.
a) The Employment Provider can demonstrate evidence of ongoing and constructive interactions with
Work for the Dole Coordinators.
b) The Employment Provider has in place documented strategies to keep its staff abreast of any
developments with or requirements of the Work for the Dole Coordinators.
a) Management can demonstrate the approach taken to promote the Work for the Dole programme to
potential Host Organisations.
b) Management can demonstrate how they maintain relationships with Activity Host Organisations.
c) Staff can describe the strategies they use to maintain relationships with Activity Host Organisations.
d) Management can demonstrate collaboration with other Employment Providers to meet the needs of
Activity Host Organisations and deliver the Work for the Dole programme.
5.3.3.
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The Employment Provider can
demonstrate linkages between the
services that the Employment Provider
delivers and appropriate referral to and
from other agencies.
not limited to):
i.
the Department of Human Services
ii. other Employment Providers
iii. Disability Employment Service
iv. New Enterprise Incentive Scheme (NEIS)
v. Harvest Labour Services
vi. providers of services / projects for Indigenous Australians
b) Information is maintained, at Site level, about complementary programmes or services that may be
available to Stream Participants. These services incorporate:
i.
government programmes
ii. programmes for Indigenous Australians
iii. NEIS
iv. non-vocational support services (e.g. homelessness, substance abuse, culturally and linguistically
diverse, refugees)
v. local training providers.
Principle 6—Operational effectiveness
Key performance measure
Practice requirement
KPM 6.1
6.1.1.
Employment Providers’
procedures and practices
support the delivery of services
that comply with the Deed and
Guidelines.
Employment Provider has a strategy in
place to ensure compliance with the
Deed and Guidelines.
6.1.2.
Operational systems are in place to
ensure that changes in the Deed and
Guidelines are promptly and accurately
reflected in the organisation’s own
procedures and practices.
Minimum Evidence Requirements
a) The Employment Provider’s operating procedures ensure that the requirements of Deed and
Guidelines are being met.
b) Staff undertake specific and ongoing training on the Deed and Guidelines, including completing
Departmental learning modules.
a) The Employment Provider can demonstrate that they have in place operating procedures for accurately
and promptly updating the organisation’s procedures and practices following Deed and Guidelines
updates.
b) The Employment Provider can demonstrate that these operating procedures relating to Deed and
Guideline changes are being followed.
c) Current versions of documents are readily identifiable and accessible.
d) Staff can describe in their own words how they are notified of updated operational procedures.
e) The Employment Provider can demonstrate that services delivered by staff are in line with Deed and
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Guideline requirements.
f) Staff can describe in their own words:
i.
the importance of complying with the Deed and Guidelines
ii. how they receive training on the Deed and Guidelines
iii. where they access operational procedures.
6.1.3.
Employment Provider has proactive
strategies in place for ensuring staff
awareness of probity and accountability
issues.
a) The Employment Provider has documented strategies in place to address probity and accountability
issues and evidence of their communication to and implementation by staff.
b) The Employment Providers has maintained copies of the Department of Employment’s Information,
Communications and Technology Systems—User Declaration Forms in accordance with the Deed, as
outlined in Department of Employment Security Policy for External Service Providers and Users.
c) Staff receive training to develop and maintain their awareness of probity and accountability issues.
KPM 6.2
6.2.1.
The Employment Provider has
arrangements in place to
monitor and comply with the
Privacy Act and other relevant
legislation.
The Employment Provider has policies
and processes in place to ensure that
personal information is handled in a
manner consistent with the Privacy Act
and other legislation.
a) The Employment Provider has documented privacy and confidentiality polices in place that:
i.
address data collection, use and disclosure, security and disposal as described in the
Department’s Records Management Instructions
ii. reflect a ‘need to know’ basis in relation to personal information.
b) The Employment Provider can demonstrate how they have implemented their privacy and
confidentiality procedures:
i.
Staff can accurately describe how these procedures are used and can demonstrate how they are
implemented in their daily work procedures.
ii. Information is stored securely.
iii. There are facilities, such as private interview rooms, that accommodate private discussion with
Stream Participants.
6.2.2.
The Employment Provider has
arrangements in place to promote their
privacy and confidentiality policies to
Stream Participants and Employers.
a) The Employment Provider can demonstrate the steps taken to inform Stream Participants of how their
personal information may be used. This must incorporate:
i.
evidence of relevant information on protecting Stream Participants’ privacy and handling of
confidential issues being shared with the job seeker at their first interview with the Employment
Provider
ii. additional considerations for managing issues of privacy where these are required by local
communities (e.g. Indigenous communities).
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b) The Employment Provider can demonstrate that they inform Employers about how their disclosed
information is managed.
KPM 6.3
6.3.1.
Claiming processes used by the
Employment Provider are
systematic and ensure claiming
practices align with the Deed
and Guidelines.
The Employment Provider ensures
claiming practices are systematically
applied throughout the organisation.
a) The Employment Provider’s claiming policies and procedures:
i.
support compliance with the Guidelines, including the Documentary Evidence Guideline
ii. specify approval processes for claims
iii. clearly identify accountability and delegation arrangements
iv. ensure that claiming practices are systematic throughout the organisation’s Sites.
b) Staff responsible for the submission of claims to the Department:
i.
have the required knowledge and training, including the Learning Centre’s claiming module
ii. apply the Documentary Evidence Guideline
iii. process claims in accordance with the organisation’s claiming procedures.
6.3.2.
The Employment Provider has in place
processes and procedures to ensure that
reimbursements sought from the
Employment Fund are effective at
building the Participant’s experience and
skills and/or assist them to an
Employment outcome.
a) The Employment Provider’s Employment Fund policy and procedures are in line with the Deed and
Guidelines and:
i.
require that items on the prohibited items list are not purchased
ii. detail the internal and external approval process (where required) for expenditure
iii. require appropriate record keeping.
b) The Employment Provider can demonstrate that their Employment Fund policies and procedures are
followed by staff.
c) The Employment Provider can demonstrate how items purchased out of the Employment Fund:
i.
correspond with the Stream Participant’s difficulties in finding a job in the labour market
ii. provide value for money
iii. comply with any work health and safety laws that may apply
iv. ensure effective use and promotion of wage subsidies.
Principle 7—Continual improvement
Key performance measure
Practice requirement
KPM 7.1
7.1.1.
The Employment Provider has
an effective internal audit
The Employment Provider has formally
defined internal audit procedures or an
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Minimum Evidence Requirements
a) The audit charter or procedures are approved by the directors or board members and outline the
purpose, authority and responsibility of the internal audit function. They detail:
i.
how the organisation ensures that the internal audit function improves the organisation’s overall
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system in place.
audit charter in place.
effectiveness
ii. how management ensures that the internal audit function remains an independent process, free
of operational interference
iii. how the plan interlinks with the organisation’s risk and fraud management strategies.
b) People responsible for conducting internal audits:
i.
are independent, objective and impartial
ii. have a clear separation of duties where audits are conducted by Employment Service staff
iii. possess the appropriate skills and competencies to undertake internal audits.
7.1.2.
The Employment Provider ensures that
internal audit activity is effectively
planned.
a) The Employment Provider effectively plans internal audit activity by:
i.
preparing an internal audit schedule that is approved by directors or board members
ii. considering the size and complexity of the organisation to ensure that internal audit activities
provide the organisation with sufficient assurance
iii. adopting a risk-based approach to determining internal audit priorities
iv. ensuring that audits are undertaken of the internal quality management system as well as Deedrelated compliance.
b) The Employment Provider undertakes internal audit activities as outlined in the organisation’s audit
schedule:
i.
The Employment Provider can demonstrate that all scheduled audits have been conducted.
ii. Reasons that audits are undertaken outside the audit schedule are documented.
KPM 7.2
7.2.1.
The Employment Provider has in
place a systematic approach to
identifying and implementing
continual improvement
activities.
The Employment Provider has in place a
continual improvement register that is
used to monitor continual improvement
proposals and the activities that address
them.
a) The Employment Provider can demonstrate that there is a continual improvement register and that it is
effectively utilised, including demonstrating that:
i.
there is a systematic process to updating and monitoring the continual improvement register
ii. the register contains all corrective action
iii. the register contains all current and completed activities
iv. the register contains issues and opportunities that have been informed by a variety of sources
v. the register demonstrates the Employment Provider’s timely response to identified issues and
opportunities
vi. board members or directors regularly review the continual improvement register and contribute
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to its ongoing development.
7.2.2.
The Employment Provider has in place
systematic reporting mechanisms that
monitor Site, Employment Region and
organisational performance.
7.2.3.
The Employment Provider can
demonstrate how feedback received
from a variety of sources informs the
implementation of continual
improvement activities.
7.2.4.
The Employment Provider’s ongoing
performance against the Quality
Assurance Framework informs continual
improvement.
a) The Employment Provider has in place appropriate mechanisms to measure and review performance at
a Site, Employment Region and organisation level:
i.
These reviews include specific monitoring of placement and Outcome data in relation to
Aboriginal and Torres Strait Islander peoples.
ii. The Employment Provider can demonstrate how ongoing performance monitoring has informed
specific performance improvement strategies.
a) The Employment Provider can demonstrate how feedback received from Employers, Stream
Participants, auditors and the Department of Employment informs continual improvement.
b) The Employment Provider has in place a continual improvement register or something similar that is
used to monitor continual improvement proposals and the activities that address them.
a) The Employment Provider can demonstrate how it uses the QAF audits*, including the audit report, to:
i.
actively consider observations, recommendations and opportunities for improvement outlined by
the auditor in order to improve the organisation’s effectiveness
ii. inform continual improvement activities that are detailed in the continual improvement register.
b) The Employment Provider can demonstrate that, where non-conformity against either the Employment
Provider’s chosen Quality Standard or the Department’s Quality Principles has been determined,
corrective action has been promptly taken, is reflected in the continual improvement register and
meets the required timeframes.
*If the Employment Provider has not previously undertaken a QAF audit, the Employment Provider must provide a strategy for how it will use future QAF audits to meet
the requirements of KPM 7.2.4 (a) and (b).
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Quality Auditors
The Department has established the QAF Auditor List comprising Conformity Assessment Bodies (CABs)
approved by the Department to conduct QAF audits. CABs are accredited to certify organisations against one or
more of the Quality Standards. The QAF Auditor list will be maintained on the Provider Portal.
Quality Auditors will conduct audits on behalf of CABs on the QAF Auditor List. All Quality Auditors must
undertake training as directed by the Department. The Department may provide any Quality Auditor with
information to assist the Quality Auditor with a QAF Audit, and any information so provided will also be
provided to the Employment Provider.
Engaging a Conformity Assessment Body
Employment Providers must engage a CAB from the QAF Auditor List to conduct a Quality Principles Audit. Any
agreement entered into by an Employment Provider with a CAB must:



be in writing
require the CAB to provide all information and assistance to the Department, as requested by the
Department, in relation to QAF Audits—information requested by the Department could include any
working papers
reserve the right of termination to take into account the Department’s right to remove the CAB from
the QAF Auditor List.
Employment Providers must ensure that a Quality Principles Audit is conducted in accordance with these
Guidelines. This includes ensuring:
•
•
the reporting requirements are satisfied
documents such as the QAF Audit Plan, Quality Principles Report and Corrective Action Plan are
submitted within the required timeframes.
To avoid doubt, CABs who are not members of the QAF Auditor List are not accredited to undertake a Quality
Principles Audit and should not be engaged by Employment Providers to conduct Quality Principles Audits.
Audit recommendations and disputes
While Quality Auditors will make recommendations to the Department about certification against the Quality
Principles, the Department is the body responsible for granting certification. The Department may, at its
absolute discretion, accept or reject a recommendation made by the Quality Auditor. The Department may seek
additional information from the Employment Provider, the Quality Auditor, or both, before making a final
decision about a recommendation.
Quality Principles Audit and Reporting Requirements
This section provides information about Quality Principles Audits and Reporting Requirements.
All Quality Principles Audits will be conducted by the Quality Auditor on site, unless otherwise previously agreed
by the Department, and in accordance with this Guideline and the approved ‘QAF Audit Plan’ (refer to page 36
for further information). During the audit, the Quality Auditor will explore, through interviews and evidence
gathering, the extent to which an Employment Provider adheres to the Quality Principles.
Generally, Quality Auditors will follow the steps below while visiting each Site during the audit:
•
•
•
opening meeting
collect and analyse evidence and
prepare Site findings.
Additionally, once Audits are completed, the Quality Auditor must prepare the ‘Quality Principles Report’ (refer
to page 39 for further information) and complete an ‘Audit Close Meeting’ (refer to page 41 for further
information) with the Employment Provider.
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Quality Auditors may assess the Employment Provider’s adherence to the Quality Principles and the Quality
Standard in a single audit process where the Audit Schedule (see ‘Audit and Reporting Schedule’ on page 5) for
the Quality Principles and the approved Quality Standard coincide.
Employment Providers are responsible for their audit costs.
Quality Principles Audit Types and Scope
There are three (3) types of Quality Principles audits, under the QAF:
•
•
•
Certification Audit
Surveillance Audit
Extraordinary Audit.
Certification Audits
Employment Providers must undergo a Certification Audit when initially gaining QAF certification and when
seeking recertification against the QAF. (Employment Providers must seek recertification against the QAF before
the expiry of their Certification).
The scope of the Certification Audit encompasses the complete set of Quality Principles, including the Standard
Centric Principles. Quality Auditors must assess the Employment Provider’s adherence to the Quality Principles
by auditing a sample of the Employment Provider's Sites and its head office. Further information in relation to
the sampling requirements of a Certification Audit is contained in 'Quality Principles Audit Sampling' on page 36.
Information about completing the Certification Audit Report is provided in 'Quality Principles Reports' on
page 39.
Surveillance Audits
The purpose of the Surveillance Audit is to ensure that the Employment Provider has maintained those systems,
practices and procedures that led to certification. Surveillance Audits are designed to measure the
implementation and results of the systems and procedures, as well as assess the general quality of the systems
and procedures themselves.
Employment Providers must undergo a Surveillance Audit and submit a Surveillance Report to the Department
in accordance with the ‘Audit and Reporting Schedule’ on page 5. Failing to undergo a Surveillance Audit may
result in the suspension of the Employment Provider's QAF certification.
Similar to Certification Audits, Surveillance Audits also involve an audit of a sample of the Employment
Provider's Sites, including the head office; however, the size of the sample is smaller than that of a Certification
Audit. Further information about the sampling requirements of a Surveillance Audit is provided in 'Quality
Principles Audit Sampling' on page 36.
The Surveillance Audit will generally only include the Deed Centric Principles (Quality Principles 4 to 7).
Employment Providers are not required to be audited against the Standard Centric Principles during a
Surveillance Audit unless:
•
•
non-conformance was identified during the most recent Quality Standards Audit that is relevant to one
or more of the practice requirements within the Standard Centric Principles* or
the Department specifically requests the Employment Provider to do so.
*In these instances, the relevant practice requirements under the Standard Centric Principles must be assessed
in the Surveillance Audit. Information about completing the Surveillance Report is provided in 'Quality Principles
Reports' on page 39.
Extraordinary Audit
An Extraordinary Audit must be conducted at the request of the Department by a Quality Auditor, as directed by
the Department.
An Extraordinary Audit is usually targeted to a specific aspect of the QAF and does not form part of the regular
audit schedule (see 'Audit and Reporting Schedule' on page 35). Quality Auditors may also recommend
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additional auditing requirements from time to time. The Department will consider recommendations from
Quality Auditors to determine if an Extraordinary Audit is required.
The scope of an Extraordinary Audit is determined by the Department on a case-by-case basis.
Quality Principles Audit and Reporting Schedule
The Quality Principles Audit and reporting schedule for Employment Providers is outlined at Table 10— Quality
Principles Audit and Reporting Schedule. Employment Provider’s must meet these requirements unless advised
otherwise by the department.
Table 10— Quality Principles Audit and Reporting Schedule1
During the
Contract year:
1 July 2015 –
30 June 20162
1 July 2016 –
30 June 2017
1 July 2017 –
30 June 20182
Employment Providers without QAF
certification as at 1 July 2015, must:
 undergo a Certification Audit, and
 submit a Certification Report on or before
nine (9) months from the Deed
Commencement date and within 10 Business
Days of receipt of the Certification Report
from the Quality Auditor.
Employment Providers certified
during the pilot (in 2014) must:
 undergo a Surveillance Audit3, and
 submit a Surveillance Report to the Department at
least one (1) month prior to the two year
anniversary of initially achieving QAF certification
and within 10 Business Days of receipt of the
Surveillance Report from the Quality Auditor.
(A copy of the latest Quality Standards Report must
also be submitted with the Certification Report)
(A copy of the latest Quality Standards Report must also
be submitted with the Surveillance Report)
 undergo a Surveillance Audit, and
 submit a Surveillance Report to the
Department at least one (1) month prior to
the two year anniversary of initially achieving
QAF certification and within 10 Business Days
of receipt of the Surveillance Report from the
Quality Auditor.
 undergo a Certification Audit, and
 submit a Certification Report at least three (3)
months prior to the expiry of its QAF certification
and within 10 Business Days of receipt of the
Certification Report from the Quality Auditor.
(A copy of the latest Quality Standards Report must also
be submitted with the Certification Report)
(A copy of the latest Quality Standards Report must
also be submitted with the Surveillance Report)
1 July 2018 –
30 June 2019
1 July 2019 –
30 June 2020
 undergo either a Certification Audit or a
Surveillance Audit, and
 in relation to a Certification Audit:
o submit a Certification Report at least
three (3) months prior to the expiry of
its QAF certification and within 10
Business Days of receipt of the
Certification Report from the Quality
Auditor, or
 in relation to a Surveillance Audit:
o submit a Surveillance Report to the
Department at least one (1) month prior
to the expiry of the QAF certification
and within 10 Business Days of receipt
of the Surveillance Report from the
Quality Auditor..
 undergo a Surveillance Audit, and
 submit a Surveillance Report to the Department at
least one (1) month prior to the two year
anniversary of its renewed QAF certification and
within 10 Business Days of receipt of the
Surveillance Report from the Quality Auditor.
(A copy of the latest Quality Standards Report must also
be submitted with the Surveillance Report)
Notes:
1
This Audit schedule is independent of your organisation’s chosen approved Quality Standard.
22
Employment Providers certified during the pilot may be required to complete QAF audits outside of this period depending
on their initial QAF certification date.
33
Employment Providers whose QAF certification lapsed for any reason must complete a Certification Audit and submit a
Certification Report by 31 March 2016 unless otherwise advised by the Department.
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When scheduling Audits, the Employment Provider should be mindful of the reporting due dates to ensure that
its Quality Reports are submitted to the Department within the relevant timeframes.
To maintain certification against an approved Quality Standard, Employment Providers must follow the relevant
audit schedule of that Quality Standard, which may differ from the audit schedule described in Table 10—Audit
and Reporting Schedule. Employment Providers should discuss the auditing requirements of the Quality
Standards with their CAB.
Those Employment Providers that are required to undertake QAF Audits during the period 1 July 2019 – 30 June
2020 can choose to complete a Certification or Surveillance Audit. However, where a Surveillance Audit is
conducted, these Employment Providers will be required to undertake a Certification Audit during the first year
of the next contract period to maintain their QAF Certification.
Audit Plans
The QAF Audit Plan provides the basis on which the Quality Principles Audit will be conducted. It outlines the
Sites that are to be included in the sample and the relevant Claims Sampling and Participant Sampling to be
conducted at each Site.
When preparing for a Quality Principles Audit, the Employment Provider must request the electronic Audit Plan
template from the Department. The Audit Plan template will assist the Quality Auditor and the Employment
Provider in ensuring that the relevant sampling requirements will be met during the Quality Principles Audit.
The Employment Provider must complete the QAF Audit Plan, in conjunction with the Quality Auditor and
submit it to the Department for approval no later than 20 Business Days before the commencement of the
Quality Principles Audit.
When preparing the Audit Plan for a Surveillance Audit, the Quality Auditor must consider any nonconformances from the Employment Provider’s latest Quality Standards Report. If any non-conformances are
relevant to practice requirements within the Standard Centric Principles then those practice requirements must
be included in the QAF Audit plan. For further information please refer to ‘Surveillance Audit’ on page 34.
The Quality Principles Audit must be conducted in accordance with the approved QAF Audit Plan. The
Department will consider requests to change the QAF Audit Plan on a case-by-case basis; however, proposed
changes must be approved before starting the Quality Principles Audit.
Quality Principles Audit Sampling
The sampling methodology outlined in these Guidelines is for Quality Principles audits only. The sampling
requirements for the Quality Standards are governed by the standards themselves. Employment Providers
should discuss the sampling requirements of the Quality Standards with their CAB.
All Quality Principles Audits must be conducted according to the sampling methodology described below. The
sampling numbers provided in this document are the minimum numbers required. If a Quality Auditor considers
that additional sampling is required to determine the extent of an Employment Provider’s conformance with
any of the KPMs or Quality Principles, they may increase the sampling numbers.
For Quality Principles audits, sampling falls into the following three categories:
•
•
•
Site sampling
Claims sampling and
Participant sampling.
Site sampling
Quality Auditors must ensure that the Site sample is representative of the Employment Provider’s business. As
most Employment Providers operate more than a single Site, multiple Sites will need to be audited to ensure
adequate representation of the Employment Provider’s business. Table 11—Site sample sizes—provides an
overview of the method for determining the number of Sites to be included in the sample for each type of
Quality Principles Audit under the QAF.
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The Employment Provider’s head office must be visited by the Quality Auditor during each Quality Principles
Audit. In the case that the Employment Provider also delivers Employment Provider Services from its head
office, the head office may be counted as a Site in the sample. However, the Head Office should not to be
audited in its capacity as an Employment Provider Service delivery Site at each Quality Principles Audit.
Table 11—Site sample sizes
Audit type
Number of Sites
Certification Audit
The square root of Site count ( √𝑛 ) rounded to the next whole number, plus the head
office.
Surveillance Audit
Sixty per cent of the square root of the Site count (√𝑛 × 0.6 ) rounded to the next whole
number, plus the head office.
Extraordinary Audit
The Department will determine the number of Sites in an Extraordinary Audit on a caseby-case basis.
Note: the Site Count is equal to the sum of the Full-time and Part-time Sites listed in the Employment Provider’s
Deed Schedule.
The Quality Auditor will determine the Sites that make up the Site sample. Sites selected in the sample should
be reflective of an Employment Provider’s business. When determining the Site sample, consideration should be
given to the following:
•
•
•
•
•
No repetition—It is expected that over the four-year certification period, Quality Principles Audits would
sample as many Sites as possible, in accordance with the sampling requirements outlined in Table 11—
Site sample sizes. Generally, those Sites that have been audited previously within the Certification
Period would not be included in future Quality Principles Audits unless the Quality Auditor considers it
advantageous following the identification of non-conformance or when the Site count is small enough
to require Sites to be audited multiple times.
Geographical coverage—Quality Auditors should aim to select Sites from different Employment Regions
where the Employment Provider operates in more than one Employment Region. Where the calculated
Site sample is larger than the total amount of Employment Regions in which the Employment Provider
delivers the Services, the Quality Auditor may choose multiple Sites within Employment Regions.
Varying Site types—Quality Auditors should consider the range of service Sites (Full-time, Part-time and
Outreach) operated by the Employment Provider.
Changes in servicing arrangements—Whether the Employment Provider has established any new Sites
or received additional Business Share in an Employment Region since the last Quality Principles Audit.
Subcontractor Sites—Sites operated by Subcontractors are included in the scope of the Quality
Principles Audit. Quality Auditors should give consideration to the amount of Subcontractors delivering
services on behalf of the Employment Provider. The Site sample should reflect the level of business
delivered by each Subcontractor. Quality Auditors should seek to include Sites from different
subcontractors where relevant.
Please note that the above considerations are provided as guidance only and are not mandatory requirements.
They are intended to assist Quality Auditors in ensuring the Site sample is reflective of the Employment
Provider’s business.
All Sites in the sample must be visited in person by the Quality Auditor, unless the Department has approved in
advance that this is not required. Requests for alternative audit methods, including the use of videoconference,
will be considered by the Department on a case-by-case basis.
Claims sampling
Quality Auditors must review enough claims for payment (Claims) in line with the Employment Provider’s claims
processing procedures to determine the level of conformance with those procedures.
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AA minimum of 10 Claims per Site, capped at a total of 50 Claims across the organisation, must be checked by
the Quality Auditor. However, Quality Auditors may review further Claims if they consider additional checking is
required to determine the Employment Provider’s level of conformance.
Where the Employment Provider’s Site sample is greater than five Sites, the number of Claims checked must be
evenly distributed across each of the Sites in the sample. Additionally, those Employment Providers who process
Claims via a central claims processing office must ensure that the Claims reviewed during the Quality Principles
Audit are linked to the Sites included in the Site sample.
From time to time, the Department may request that Quality Auditors focus on particular Claim types. Quality
Auditors may refer to the Documentary Evidence for Claims for Payment Guidelines when considering an
Employment Provider’s approach to Claims processing. Please note that, while Quality Auditors must check
Claims against the Employment Provider’s internal procedures, Quality Auditors are not expected to check
claims for validity against the Deed.
While it is not expected that every Claim type be checked by the Quality Auditor, all Claim types made by the
Employment Provider are within the scope for checking. This includes Claims against the Employment Fund,
Service Fee Claims and Outcome Claims.
Participant sampling
While assessing adherence to the Quality Principles, Quality Auditors must collect evidence demonstrating an
Employment Provider’s delivery of quality Services to Participants.
Participant sampling is conducted in two ways. The first is through a review of Participant files, which involves
an audit review of all documentation associated with providing Services to the Participant. This can include, but
is not limited to:
•
•
•
•
•
•
•
file notes (both electronic and hard copy)
copies of Job Plans
Employment Fund reimbursements and receipts
the Participant’s resume
training referrals and certificates
Job Seeker Classification Instrument (JSCI)
reviews and participation reporting information.
It is important to ensure that Participant’s files are up to date, are complete and accurately represent the
Participant’s journey through the Employment Services Programme under the Employment Services Deed.
Quality Auditors can review Participant’s files when developing questions for Participant’s interviews.
The second method of Participant sampling is through conducting interviews directly with Participants.
Acceptable methods for interviewing Participants include one-on-one sessions, group interviews and phone
interviews. Additionally, video conference tools (including Skype) can also be used. Quality Auditors may
choose, at their discretion, to review the files of those Participants they interview.
If the Quality Auditor is unable to interview the minimum number of Participants at a given Site, the Quality
Auditor must state in the Quality Principles Report that the minimum number of interviews was not reached
and the reason that these interviews were not conducted. The Department may require additional interviews to
be conducted if there is a significant gap between the amount of interviews conducted during the audit and the
minimum sampling requirements.
The number of Participant interviews and file reviews to be conducted at each Site depends on the Site’s
caseload. Table 12—File review and Participant interview sampling requirements—provides a breakdown of the
caseload thresholds and the Participant interview and file review requirements.
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Table 12—File review and Participant interview sampling requirements
Site size
(stream Participants active on the Site’s caseload)
File review sample
Participant interview
sample
SMALL
(0–600)
4
4
MEDIUM
(601–1200)
8
8
LARGE
(1201+)
12
12
Selecting the sample
The Quality Auditor will be responsible for determining which Sites will be included in the Site sample and also
which Claims will be reviewed. However, for Participant sampling, the sample is determined by the Quality
Auditor in conjunction with the Employment Provider. Employment Providers should be mindful of the
minimum sampling requirements and make necessary preparations to ensure those numbers are met during the
Quality Principles Audit.
Quality Principles Reports
Employment Providers and Quality Auditors must ensure that all Quality Principles reports—that is, Certification
Reports, Surveillance Reports and Extraordinary Audit Reports—meet the reporting requirements under the
Deed and these Guidelines. Table 10— Quality Principles Audit and Reporting Schedule — outlines the
timeframes for submission of Quality Principles Reports.
Quality Auditors must address each practice requirement of the relevant Quality Principles in the Quality
Principles Report. Additionally, the Report must contain sufficient detail to demonstrate to the Department how
the recommendations for conformance/non-conformance were determined for a practice requirement,
including:


the relevant evidence supplied by the Employment Provider to demonstrate adherence to the Quality
Principles and
how the evidence addresses each practice requirement.
If details are missing from a Report, or if the Department is unable to make a decision due to a lack of
information about the Quality Auditor’s recommendation, the Department may request further information.
Quality Principles Reports should be clear, consistent and accurate to assist the Department in determining
whether an Employment Provider has met, or continues to meet, the QAF requirements. The Department may
reject Quality Principles Reports if practice requirements are not appropriately addressed, which could impact
on the Employment Provider’s ability to gain or maintain certification against the QAF.
The Department has developed an electronic Quality Report template to be completed by Quality Auditors
when conducting Quality Principles Audits.
Certification Reports
The Employment Provider must submit Certification Reports in accordance with the ‘Audit and Reporting
Schedule’ on page 5.
During a Certification Audit, all the Quality Principles must be addressed, either in the Certification Report or in
the current Quality Standards Report. The Quality Auditor may use the current Quality Standards Report to
address the practice requirements of the Standard Centric Principles. In these instances, Quality Auditors must
make reference in the Certification Report to the specific section(s) of the Quality Standard Report. If any of the
practice requirements contained in the Standard Centric Principles are not addressed in the Quality Standards
Report, those practice requirements must be specifically addressed in the Certification Report. Refer to ‘Audit
Type and Scope – Certification Audits’ on page 34 for further information on Certification Audit Requirements.
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Employment Providers must work with the Quality Auditor to ensure that all practice requirements under both
the Standard Centric and Deed Centric Principles are appropriately addressed.
A recommendation on whether conformance has been demonstrated must be recorded in the Certification
Report for each practice requirement.
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Surveillance Reports
The Employment Provider must submit Surveillance Reports in accordance with the ‘Audit and Reporting
Schedule’ on page 5.
The Surveillance Report must address each of the practice requirements contained within the Deed Centric
Principles. A recommendation on whether conformance has been demonstrated must be recorded in the
Surveillance Report for each practice requirement.
If the Employment Provider is required to be audited against any of the Standard Centric Principles for any of
the reasons specified in ‘Audit Types and Scope – Surveillance Audit’ on page 34, then those practice
requirements must be assessed in the Surveillance Audit and addressed in the Surveillance Report.
Audit Close Meeting
Following the completion of Quality Principle Audits, Quality Auditors must discuss the outcomes of the Audit
and conduct an Audit Close Meeting with Employment Providers. The date of the Audit Close Meeting must be
recorded in the Quality Principles Report before it is submitted to the Department.
If Non-conformances have been identified during the Quality Principles Audit, the Quality Auditor must supply
the Employment Provider with a copy the Non-conformance Report section of the Quality Principles Report.
Employment Providers have 20 business days from the receipt of the Non-conformance Report (contained in
the Quality Principle Report) to complete a Corrective Action Plan - refer to ‘Non-conformance’ (below) for
further information.
Additionally, Employment Providers and Quality Auditors should discuss any corrective actions required and
how and when any non-conformances should be down-graded or closed out.
Non-conformance
If a Quality Auditor determines that the Employment Provider is unable to demonstrate adherence to all
elements of a Quality Principle, the Quality Auditor will issue a Non-conformance classification. This section
provides information about what constitutes a Non-conformance classification and the action an Employment
Provider must take in the event that Non-conformance classification is raised.
There are two Non-conformance classifications:
•
•
Major Non conformance
Minor Non-conformance.
Table 13—Non-conformance classifications and the impact/actions required—provides an outline of the nonconformance classifications, their impact on certification and the corrective actions required for each.
An Employment Provider will not be awarded QAF certification if a Major Non-conformance is issued. For
avoidance of doubt, any Major Non-conformances identified during a Certification Audit must be, at a minimum,
downgraded to Minor Non-conformance before 5.00 pm (local time in Canberra, ACT, Australia) on 1 July 2016,
or any other date Notified by the Department.
Non-conformance Report
The Quality Principles Report template includes the ‘Non-Conformance Report’ which summarises the Nonconformances identified during a Quality Principles Audit and automatically calculates the Non-conformance
classification against the Quality Principles.
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Table 13—Non-conformance classifications and the impact/actions required
Non-conformance
classification
Definition
Impact on
certification
Major Non-conformance
Minor Non-conformance
A Major Non-conformance is defined as:
A Minor Non-conformance is defined as:


failure to meet a practice requirement or

a Minor Non-conformance identified
against a Quality Standard during a
Quality Standard Audit.
a failure to satisfy 50 per cent of the
practice requirements across a Quality
Principle, regardless of which KPM they fall
under or

a failure to satisfy any of the practice
requirements within a KPM or

a failure to close out a Minor
Non-conformance within six months or

a Major Non-conformance identified
against a Quality Standard during a Quality
Standard Audit.
In relation to a Certification Audit—certification
against the QAF is not granted until the Major
Non-conformance is downgraded to a Minor
Non-conformance or closed out.
No impact on certification as long as the
Minor Non-conformance is closed out within
the required timeframe.
In relation to a Surveillance Audit or a Recertification Audit—certification against the
QAF is suspended until the Non-conformance is
downgraded to a Minor non-conformance or
closed out.
Corrective Action
Plan
A Corrective Action Plan must be submitted to
the Department within 20 business days of
receiving the Non-Conformance Report (which
is supplied to the Employment Provider at the
closing meeting of the audit), containing:

Close out method
proposed action to be taken to address the
Non-conformance (that is downgrade the
Major Non-conformance to a Minor
Non-conformance)

timeframes of progress milestones

endorsement from the Quality Auditor and
a determination as to whether the Nonconformance can be closed out remotely
or if further onsite audit activity is
required.
Close out of a Major Non-conformance is
usually achieved by downgrading it to a Minor
Non-conformance. Downgrading of the Major
Non-conformance must be achieved through a
Quality Auditor and may be demonstrated
either remotely or at the Site. The original issue
must be checked during the next Quality
Principles Audit.
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A Corrective Action Plan must be submitted
to the Department within 20 business days of
receiving the Non-Conformance Report
(which is supplied to the Employment
Provider at the closing meeting of the audit),
containing:

proposed action to be taken to address
the Non-conformance

timeframes of progress milestones

endorsement from the Quality Auditor
and a determination as to whether the
Non-conformance can be closed out
remotely or if further onsite audit activity
is required.
Close out of a Minor Non-conformance must
be done by a Quality Auditor, either remotely
or at the Site. Corrective action in relation to
the Minor Non-conformance will be checked
at the next Quality Principles Audit.
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Non-conformance
classification
Close out period
Consequence if
Non-conformance is
not closed out
within the required
timeframe
Major Non-conformance
Minor Non-conformance
The Department must receive confirmation
from the Quality Auditor that the Major
Non-conformance has been closed out or
downgraded within three months from the
closing meeting of the audit. Once the Major
Non-conformance has been downgraded, the
Employment Provider must completely close
out the Minor Non-conformance in three
months (that is, a maximum timeframe of six
months from the closing meeting of the audit).
The Department must receive confirmation
from the Quality Auditor that the Minor
Non-conformance has been closed out within
six months from the closing meeting of the
audit.
The Employment Provider may be subject to
remedial action under the Deed* (see clause
98.11 of the Deed).
Minor Non-conformance will be upgraded to
Major Non-conformance. QAF Certification
will be suspended until the Major
Non-conformance is closed out.
Note: QAF certification will not be awarded until the Major Non-conformance is downgraded.
Corrective action and close out
Once the Non-conformance is identified in the Quality Principles Report, it must be closed out or downgraded
(in the case of a Major Non-conformance) in accordance with these Guidelines unless the requirements of the
relevant Quality Standard require the Non-conformance to be closed out sooner. To close out a
Non-conformance, the Employment Provider must demonstrate to the Quality Auditor that the corrective
action it has undertaken has addressed the Non-conformance.
For each Quality Principles Audit, once all Non-conformances have been closed out, Employment Providers must
send confirmation from the Quality Auditor to the Department.
Quality Standard Non-conformance
If a Non-conformance is issued during a Quality Standard Audit, and the Quality Auditor considers that it is
relevant to the Standard Centric Principles, that Non-conformance will be deemed a Non-conformance against
the Quality Principles. Quality Auditors must include the Non-conformance in the Quality Principles Audit Report
under the relevant Quality Principle.
Any Non-conformance raised against a Quality Standard that results in the suspension or cancellation of
certification against that Quality Standard may result in the Employment Provider’s QAF certification being
suspended. Additionally, if the Employment Provider’s certification against the chosen Quality Standard lapses,
for any reason, then the Employment Provider’s QAF Certification may be suspended.
Additional information for Quality Auditors
Tendering Groups
In the case where the Employment Provider is a collection of organisations delivering Services as a Tendering
Group, the lead member of the Tendering Group must achieve and maintain certification against the QAF. All
Sites listed in the Tendering Group’s deed schedule are within the scope for the Site sample. When auditing
against the Quality Principles, the lead member’s head office must be audited as part of the Site sample.
Change of membership
If there is a change in membership of the Tendering Group resulting from a deed of novation, the new
Tendering Group must gain QAF Certification in accordance with these Guidelines in its own right.
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Novations and transfers
If an organisation becomes an Employment Provider following the execution of a deed of novation, that
Organisation must demonstrate adherence to the Quality Principles through a Certification Audit and achieve
certification against a Quality Standard within 12 months of the date of execution of the deed of novation.
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Compliance Indicator
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
•
Clauses 26–29 Assessment and management of Provider’s performance
Clause 52—Remedies for breach and poor performance
Clause 99—Performance Indicators
Clause 100—Provider Star Ratings and Compliance Indicator.
Introduction
A Compliance Indicator will be used to measure Employment Providers’ compliance with the Deed in terms of
payment-related claims or processes. The Compliance Indicator will measure Employment Providers’
compliance over time and/or in comparison to other Employment Providers, both nationally and within
Employment Regions.
The Compliance Indicator will be calculated based on reviews undertaken by the Department through
Employment Provider Site visits, desktop monitoring activities and programme assurance activities. It will be
measurable at the overall Employment Provider level and, for each employment services contract, at the
Employment Region level.
The Compliance Indicator will be calculated for reviews undertaken from 1 July 2015, and will be calculated on a
rolling basis—i.e. only taking results into account for a set period of time before calculation—not always to the
start of the contract.
The Compliance Indicator will provide incentive for business improvements where the result is sub-optimal and
may be a basis for business reallocation or other measures by the Department.
Further details on the Compliance Indicator will be provided as an update to this Guideline on the Provider
Portal.
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Service Guarantees and Service Delivery Plans
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
Clause 28—Performance Assessments
Clause 73—Service Guarantees and Service Delivery Plan(s)
Clause 99—Performance Indicators.
Introduction
As part of the Australian Government’s commitment to deliver high-quality employment services for Stream
Participants and Employers, a key component of the Employment Services Performance Framework is to ensure
that stakeholders are receiving quality services.
Common to all Employment Providers, the Service Guarantee reflects the government’s expectations of how
Employment Providers will interact with Stream Participants and specifies the minimum level of service each job
seeker can expect to receive.
An Employment Provider’s Service Delivery Plan(s) is posted on its Services (previously Connections for Quality)
page on AJS, given to job seekers at their initial appointment with their Employment Provider and prominently
displayed in each Employment Provider’s office. The Employment Provider’s Service Delivery Plan(s) captures
the commitments made by the Employment Providers in its tender response and outlines the specific services
stakeholders can expect from them.
In accordance with clause 28 of the Deed, the Department will monitor Service Guarantees, Service Delivery
Plan(s) and representations in the Provider’s response to tender (service offer) on an ongoing basis to assess the
Provider’s performance.
Assessment
As outlined in clause 99.1 (c)(iii) of the Deed, the Department’s assessment of service delivery against the
Service Guarantees and the Provider’s Service Delivery Plan(s) will be undertaken as part of the measurement of
an Employment Provider’s performance against KPI 3. This will involve the Department making an assessment of
whether Employment Providers are meeting the service delivery standards outlined in the Service Guarantees,
their service offer and their Service Delivery Plan(s) through a range of activities, including direct demonstration
by the Employment Provider to the Department.
Where the Department determines that an Employment Provider is not delivering services as outlined in their
Service Delivery Plan or the Service Guarantees, the Department reserves the right to apply remedial actions to
that Employment Provider, with the type of actions applied dependant on the nature of the non-compliance.
Employment Providers not meeting the service delivery standards may also be in scope for business
reallocation.
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Performance reviews
Relevant Deed clause/s
The relevant clauses in the Deed are:
•
Clauses 26–29 Assessment and management of Provider’s performance
Approach
The Department will provide timely and regular feedback to Employment Providers regarding their performance
and will work proactively with Employment Providers to address performance management issues.
Formal performance feedback will be provided at least once every 12 months, but feedback may be provided, at
the discretion of the Department, following each Performance Period and the public release of Star Ratings. This
feedback will generally be provided in writing but may also include face-to-face discussions.
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Business reallocation
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
•
•
Clauses 26–29 Assessment and management of Provider’s performance
Clause 52—Remedies for breach and poor performance
Clause 99—Performance Indicators
Clause 100—Provider Star Ratings and Compliance Indicator
Clause 101—Action about performance.
Approach
There will be two performance-based business reallocations for Employment Providers: at the 18 and 36
months points of the Deed. Employment Providers assessed at a Star Rating of 2-Stars or below at the
Employment Region or Site level at these points in the Deed will be in scope for business reallocation. Where
performance against other measures of performance and operation, such as the service offer, Compliance
Indicator score or Indigenous Outcome Targets is not to the Department’s satisfaction, Employment Providers
may also be in scope for business reallocation.
Consistent with past practice, the Department’s approach to adjusting Employment Providers’ Business Share
will be communicated to Employment Providers before the business reallocation process.
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Work for the Dole Coordinator Performance
Framework
Relevant Work for the Dole Coordinator Services Deed 2015-2020 clauses
The relevant clauses in the Deed are:
•
•
•
•
Schedule 3—Performance Management – Key Performance Indicators
Clause—Remedies for breach at clause 21
Clause—Reporting at Schedule 1 clause B.5
Interpretation–clause 28
Introduction
This section of the Guidelines details the approach and methodology to evaluate the performance of Work for
the Dole Coordinators (referred to as ‘Coordinator’) to support the delivery of high quality Services and
encourage continuous improvement.
Approach
The Department will gather information to measure a Coordinator’s performance through the Department’s IT
Systems, Progress Reports and any other reports, contract monitoring activities and feedback from Employment
Providers, Work for the Dole Host Organisations and job seekers, as appropriate.
Timing
Formal performance reviews and feedback will be provided in six-monthly performance periods. Table 14—
Performance periods for Coordinators—shows the start and end dates of each performance period being
assessed up until 30 June 2020.
Table 14—Performance periods for Coordinators
Performance period
Date
1
1 May 2015 to 31 December 2015
2
1 January 2016 to 30 June 2016
3
1 July 2016 to 31 December 2016
4
1 January 2017 to 30 June 2017
5
1 July 2017 to 31 December 2017
6
1 January 2018 to 30 June 2018
7
1 July 2018 to 31 December 2018
8
1 January 2019 to 30 June 2019
9
1 July 2019 to 31 December 2019
10
1 January 2020 to 30 June 2020
Key Performance Indicators and performance measures
Coordinators will be assessed against Key Performance Indicator 1 (Efficiency), Key Performance Indicator 2
(Effectiveness) and Key Performance Indicator 3 (Quality and Assurance). Performance measures for each Key
Performance Indicator are listed in
Table 15—Performance measures.
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Table 15—Performance measures
Key Performance Indicator
Performance measure
(KPI)
KPI 1—Efficiency
Number of Work for the Dole places sourced assessed against any targets set
1.1.1
90 per cent of the target is met
1.1.2
75 per cent of advertised places in the performance period are six months in duration
1.1.3
100 per cent of places advertised are 15 or more hours per week
The extent to which the number of Work for the Dole places secured are available to all Employment Providers across
the Employment Region and meet their caseload needs
1.2.1
Percentage of places advertised, relative to the number and location of job seekers with
an Annual Activity Requirement in the Employment Region1
1.2.2
Percentage of places claimed by each Employment Provider in the Employment Region2
1.2.3
Percentage of places with a commenced job seeker in the Employment Region
KPI 2—Effectiveness
The appropriateness of Work for the Dole Places sourced for a variety of eligible job seekers and delivery of work-like
experiences
2.1
Percentage of places recorded on the Department’s IT Systems meet Deed and
Guideline requirements
2.2
The spread of places by industry, occupation and task reflects the local labour market in
the Employment Region3
KPI 3—Quality and Assurance
Reports
3.1.1
The content of reports is accurate and contained relevant information
3.1.2
The Self-Assessment Quality Report demonstrates conformance to each Quality
Principle4
3.1.3
The content of reports is completed and delivered within the set timeframes
Compliance with Deed and any Guidelines
3.2.1
Best-practice methods and approaches are identified in the Reports
3.2.2
Resolution of tip-offs or formal complaints received by the Department in a
performance period5
3.2.3
Resolution and recurrence of Deed notices, sanctions and non-conformance issued
during a performance period
Outcomes of any performance review undertaken on service delivery
3.3.1
3.3.2
Feedback from Employment Providers, Work for the Dole Host Organisations and job
seekers
Resolution of all identified performance issues
3.3.3
Time taken to resolve identified performance issues
3.3.4
Recurrence of previously identified performance issues
Notes:
1. Measurement of this performance indicator will take into account other factors including jobseekers who
are not required to participate in Work for the Dole, such as those who are exited or suspended in other
approved activities or in employment, the proportion of places sources by the jobactive organisations in the
employment region will be excluded from the result against this measure.
2. Measurement of this performance indicator will take into consideration other factors that may affect this
indicator such as the actions of jobactive organisations in the Employment Region.
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3. Measurement of this performance indicator will take into consideration other factors that may affect this
indicator such as job seeker behaviour and actions of jobactive organisations in the Employment Region.
4. The Self-Assessment Quality Report is to be completed within six months of the commencement of the
Deed. However, the Department may engage with the Coordinator to review the Self-Assessment Quality
Report from time to time.
5. Only complaints where the Department has determined that they are legitimate and the Coordinators have
had the opportunity to assist the Department in resolving will be factored into the result against this
measure. Complaints that require no action from a Coordinator or that are made against the Coordinator
where no consent is provided for follow-up will not be included in the overall result for this measure.
Assessment
Coordinators will be assessed against each performance measure. The Department will use quantitative data to
help target the analysis of qualitative information. Coordinators will receive the following results for each Key
Performance Indicator:
•
•
•
Fully met
o The Coordinator satisfies all performance measures for Key Performance Indicator 1.
o The Coordinator satisfies all performance measures for Key Performance Indicator 2.
o The Coordinator satisfies all performance measures for Key Performance Indicator 3.
Partially met
o The Coordinator satisfies at least four performance measures for Key Performance Indicator 1.
o The Coordinator satisfies at least one performance measures for Key Performance Indicator 2.
o The Coordinator satisfies at least seven performance measures for Key Performance Indicator 3.
Not met
o The Coordinator satisfies less than four performance measures for Key Performance Indicator 1.
o The Coordinator has not satisfied any measures for Key Performance Indicator 2.
o The Coordinator satisfies less than seven performance measures for Key Performance Indicator 3.
Quality framework for Coordinators
The quality principles outline the Department’s expectations of service quality. The principles have been
designed to cover the minimum requirements for delivering quality services with a strong focus on continual
improvement. Each quality principle has been developed as a basis for measuring quality and improving the
delivery of services and is categorised into ‘key performance measures’, ‘practice requirements’ and
‘evidence’(please refer to Table 16—Quality Principles for Work for the Dole Coordinators.)
Self-Assessment Quality Report
Coordinators must complete and submit a Self-Assessment Quality Report on or before the date that is six
months from the Deed Commencement Date. A Self-Assessment Quality Report template is available on the
Provider Portal for Coordinators to use. This report must address all the Quality Principles relevant to
Coordinators in full, as outlined in Table 16—Quality Principles for Work for the Dole Coordinators. The SelfAssessment Quality Report is to be completed once. However, the Department may engage with the
Coordinator to review the Self-Assessment Quality Report from time to time.
The Self-Assessment Quality Report must address each practice requirement and must contain sufficient detail
and evidence to demonstrate to the Department how the Quality Principles have been met. This includes
meeting each element of the minimum evidence requirements (as outlined in Table 16—Quality Principles for
Work for the Dole Coordinators) in demonstrating conformance with each practice requirement.
Please note that where relevant, practice requirements may not be entirely satisfied by the existence of policies
or procedures alone. In these instances, Coordinators must demonstrate that the policies and or procedures are
being followed and achieve quality results.
If details are missing from the Self-Assessment Quality Report or the Department is unable to make a decision
due to a lack of information, further information may be requested.
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Non-conformance Classifications for Coordinators
If the Department determines that the Coordinator is unable to demonstrate adherence to all elements of a
Quality Principle, the Department will issue a non-conformance notice. Non-conformance is categorised into
two classifications: major non-conformance and minor non-conformance. Table 18—Non-conformance for
Work for the Dole Coordinators—outlines the non-conformance classifications and process a Coordinator must
follow to close out or downgrade a non-conformance.
Once the non-conformance is identified, it must be closed out within six months. In the case of a major nonconformance, the Coordinator is expected to downgrade to a minor non-conformance within three months
before completely closing out the minor non-conformance in the remaining three months (that is, a maximum
timeframe of six months). Failure to close out a minor non-conformance within six months will also result in a
major non-conformance. Where a Coordinator does not rectify the non-conformance within a six month period,
the Department may take action under the Deed.
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Table 16—Quality Principles for Work for the Dole Coordinators
Quality Principle 1—Governance
Definition: Effective governance and efficiency through corporate arrangements and management systems. These systems support practices that optimise outcomes for
their organisation and their clients. This includes appropriate planning strategies that support and improve organisational effectiveness.
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 1.1
1.1.1.
a) There are sound arrangements in place for the ongoing operation of the organisation’s governing body:
Corporate Governance and
management systems
satisfy legal and
contractual requirements
that withstand public
scrutiny.
The Coordinator’s corporate
governance arrangements
promote confidence in the
effective delivery of Work for
the Dole Coordinator Services.
i.
ii.
iii.
There is evidence that members/directors demonstrate an understanding of responsibilities and
accountabilities, including ethical, legal and contractual requirements.
There are clear processes for the escalation of matters to the governing body.
There are documented procedures on how the board operates and records its governance
function, such as frequency of meetings and recording of minutes and management of conflicts of
interest.
b) Corporate planning includes integrating internal business services and systems to support the delivery of
Work for the Dole Coordinator Services:
i.
ii.
1.1.2.
The Coordinator has in place
appropriate procedures for
decision making, which outline
the authority/delegations
within the organisation that
support staff in carrying out
their roles and responsibilities.
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Organisational charts outline how business services interlink to assist in the delivery of the Work
for the Dole Programme.
Corporate/business plans ensure that staffing levels and expertise assist in the effective delivery of
Work for the Dole.
a) Appropriate documented decision-making procedures are in place, which include decision-making matrices
(financial and administrative):
i.
ii.
iii.
There is evidence of the communication of these processes and procedures to staff.
Staff and management can demonstrate that these processes have been implemented and are
used in day-to-day operations.
The Coordinator can demonstrate how it monitors adherence to these procedures and the action
taken to address any gaps or mitigate further incidents.
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Key performance measure
Practice requirement
Minimum Evidence Requirements
1.1.3.
a) The organisation can demonstrate how it maintains financial control. There is:
The Coordinator has in place
mechanisms that ensure the
ongoing financial health of the
organisation.
KPM 1.2
1.2.1.
The Coordinator has in
place appropriate risk
management procedures
that manage workplace
and environmental risks,
including disaster recovery
plans.
The Coordinator has in place
corporate governance
arrangements that manage
risk.
i.
ii.
iii.
evidence of an appropriate financial management system
ongoing review of the organisation’s financial position, including the regular review of financial
statements; and
evidence of annual financial audits that provide assurance on financial management of systems and
processes.
a) Risk management arrangements include:
i.
ii.
iii.
documented processes for identifying and managing risk
organisational and Site risk management plans; and
evidence of regular review of risk management plans.
b) The Coordinator has a documented fraud control plan that refers to:
i.
ii.
iii.
iv.
clear arrangements for staff to notify management of potential fraud
the Department’s tip-off line contact details
ensuring staff awareness of fraud prevention, including training; and
appropriate treatment of any alleged or actual instances of fraud or misconduct that has been
identified including the documentation of treatment plans.
c) There is evidence of the application of fraud detection strategies, as outlined in the fraud control plan.
d) There is accurate record-keeping and document control:
i.
ii.
iii.
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Procedures relating to document control are implemented and understood by all staff.
All forms and documents use version control and are kept up to date.
Out-of-date material is not used by staff.
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Quality Principle 2—Labour market, employers and community
Definition: The organisation and its staff have a clear understanding of the local labour markets in which they operate. The organisation engages effectively with Work for
the Dole Host Organisations, Employment Providers and other stakeholders to effectively deliver the Work for the Dole Programme.
Key performance measure
Practice requirement
Minimum Evidence Requirements
KPM 2.1
2.1.1.
The Coordinator identifies
and incorporates local
labour market knowledge
into service delivery.
The Coordinator has in place
strategies to incorporate
labour market knowledge to
assist staff to secure Work for
the Dole Places that provide
job seekers with skills that
are in demand.
a) The Coordinator maintains documented labour market plans that demonstrate how local, regional and
national labour market information is used to determine:
2.1.2.
The Coordinator identifies
the cohort groups in the
Employment Region, and
implements specific
strategies to secure Work for
the Dole Places that meet the
characteristics, needs and
limitations of these job
seekers.
i.
ii.
iii.
details of skills in the local labour market
areas of current and future employment growth; and
skill shortages.
a) The Coordinator has in place and maintains documented strategies that assist in securing Work for the Dole
Places that meet the characteristics of different cohort groups in their Employment Region. Cohort groups
include, but are not limited to:
i.
Indigenous Australians
ii.
people subject to stronger participation incentives
iii.
people of different age groups
iv.
people of culturally and linguistically diverse backgrounds; and
v.
people with disability.
b) These strategies are applied for engaging Work for the Dole Host Organisations to provide a wide variety of
Work for the Dole Places to suit different cohort groups in the Employment Region.
c) The Coordinator can demonstrate that these strategies assist in securing Work for the Dole Places for job
seekers in the Employment Region.
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Key performance measure
Practice requirement
Minimum Evidence Requirements
2.1.3.
a) The Coordinator’s policy and procedures demonstrate a commitment to culturally appropriate service
delivery.
The Coordinator has in place
strategies that assure the
cultural competence of staff.
b) Staff are trained to deliver services in a culturally sensitive way, including working with Aboriginal and
Torres Strait Islander stakeholders.
c) The Coordinator has in place policy and procedures for accessing interpreting services, where relevant.
i.
KPM 2.2
2.2.1.
There are effective
relationships developed
and maintained with Work
for the Dole Host
Organisations and
Employment Providers.
The Coordinator regularly
uses and maintains an
effective relationship with
Employment Providers and
Work for the Dole Host
Organisations.
KPM 2.3
2.3.1
The Coordinator has a
systematic approach to
servicing the needs of Work
for the Dole Host
Organisations. There is
evidence of ongoing
relationships with Work for
the Dole Host Organisations
to deliver Work for the Dole
for job seekers.
The Coordinator has in place
proactive strategies for
meeting the needs of Work
for the Dole Host
Organisations.
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a)
Staff can accurately describe procedures and how they are used.
The Coordinator can demonstrate evidence of ongoing and constructive interactions with Work for the
Dole Host Organisations and Employment Providers, including evidence of how they maintain these
relationships:
i.
ii.
Coordinators can demonstrate the approach taken to promote Work for the Dole, including active
marketing to potential Work for the Dole Host Organisations of Work for the Dole.
There is evidence of networks and/or databases with Work for the Dole Host Organisations and
Employment Providers.
b)
Staff can describe the strategies they use to maintain relationships with Work for the Dole Host
Organisations and Employment Providers.
c)
The Coordinator has in place documented strategies to keep its staff abreast of any developments or
requirements with Work for the Dole Host Organisations and Employment Providers.
a)
The Coordinator can describe how they source and secure Work for the Dole Places. This involves:
i.
ii.
iii.
b)
accurately assessing the needs of Work for the Dole Host Organisations
collaborating with Employment Providers to meet the needs of Work for the Dole Host
Organisations; and
providing ongoing assistance to Work for the Dole Host Organisations.
The Coordinator can describe how they tailor services to Work for the Dole Host Organisations by:
i.
ii.
providing relevant information to Work for the Dole Host Organisations; for example, on Work for
the Dole Fees available to offset the costs of hosting a Work for the Dole Place
facilitating and/or participating in industry strategies, where available, to identify Work for the
Dole Places that provide job seekers with skills that are in demand in the Employment Region.
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Quality Principle 3—Operational effectiveness
Definition: The organisation adopts quality operational systems that ensure effective service delivery.
Key performance measure
Practice requirement
KPM 3.1
3.1.1.
Coordinators’ procedures
and practices support the
delivery of Services that
comply with the Deed and
Guidelines.
The Coordinator has in place
a strategy to ensure
compliance with the Deed
and Guidelines.
Minimum Evidence Requirements
a)
b)
b)
3.1.2.
Operational systems are in
place that ensure changes in
the Deed and Guidelines are
promptly and accurately
reflected in the
organisation’s own
procedures and practices.
3.1.3.
The Coordinator has in place
proactive strategies for
ensuring staff awareness of
probity and accountability
issues.
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a)
b)
c)
a)
b)
c)
The Coordinator’s operating procedures ensure that the requirements of Deed and Guidelines are being
met.
The Coordinator can demonstrate that Services delivered by staff are in line with Deed and Guideline
requirements. This includes, but is not limited to, practices to:
i.
secure a sufficient number of suitable Work for the Dole Places to meet demand across the
Employment Region
ii.
ensure the distribution of Work for the Dole Places is according to where the job seekers are
located within the Employment Region
iii.
undertake a risk assessment, or engage a Competent Person, to identify any work health and safety
issues to ensure the Work for the Dole Place is safe for participation; and
iv.
demonstrate how due diligence is exercised to ensure Work for the Dole Places do not displace
paid workers.
Staff undertake specific and ongoing training in relation to the Deed and Guidelines, including attendance
at specific fora, conferences or meetings, induction or training as specified by the Department.
The Coordinator can demonstrate that they have in place operating procedures for accurately and
promptly updating the organisation’s procedures and practices following Deed and Guidelines updates.
The Coordinator can demonstrate that these operating procedures relating to Deed and Guideline
changes are being followed.
i.
Current versions of documents are readily identifiable and accessible.
ii.
Staff can describe in their own words how they are notified of updated operational procedures.
Staff can describe, in their own words:
i.
the importance of complying with the Deed and Guidelines
ii.
how they receive training in relation to the Deed and Guidelines; and
iii.
where they access operational procedures.
The Coordinator has in place documented strategies to address probity and accountability issues and
evidence of their communication to and implementation by staff.
Coordinators have maintained copies of the Department’s ‘Information, communications and technology
systems—User declaration’ forms, in accordance with the Deed.
Staff receive training to develop and maintain their awareness of probity and accountability issues.
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Key performance measure
Practice requirement
KPM 3.2
3.2.1.
The Coordinator has in
place arrangements to
monitor and comply with
Privacy Act and other
relevant legislation.
The Coordinator has in place
policies and processes to
ensure that personal
information is handled in a
manner consistent with
Privacy and other legislation.
Minimum Evidence Requirements
a)
b)
c)
KPM 3.3
3.3.1.
Service fee expenditure
meets programme
objectives and invoicing
processes used by the
Coordinator align with the
Deed and Guidelines.
The Coordinator has in place
processes and procedures
that ensure expenditure of
service fees meets
programme objectives.
3.3.2.
The Coordinator ensures that
claiming practices are
systematically applied
throughout the organisation.
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a)
b)
c)
a)
b)
The Coordinator has in place documented privacy and confidentiality policies that:
i.
address data collection, use or disclosure, security and disposal, as described in the Department’s
Records Management Instructions; and
ii.
reflect a ‘need to know’ basis in relation to personal information.
The Coordinator can demonstrate how they have implemented their privacy and confidentiality
procedures:
i.
staff can accurately describe how these procedures are used and can demonstrate their
implementation in their daily work procedures; and
ii.
information is stored securely.
The Coordinator can demonstrate that they inform Work for the Dole Host Organisations how their
information is managed.
The Coordinator’s policy and procedures are in line with the Deed and Guidelines and:
i.
detail the internal and external approval process (where required) for expenditure; and
ii.
require appropriate record keeping.
The Coordinator can demonstrate that their service fee policies and procedures are followed by staff.
The Coordinator can demonstrate how the use of service fees:
i.
provide value for money
ii.
comply with any work, health and safety laws that may apply; and
iii.
ensure effective use and promotion of the Work for the Dole Programme.
The Coordinator’s claiming policies and procedures:
i.
support compliance with the Deed and Guidelines; and
ii.
clearly identify accountability and delegation arrangements.
Staff responsible for the submission of invoices to the Department:
i.
have the required knowledge and training; and
ii.
process invoices in accordance with the organisation’s claiming procedures.
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Quality Principle 4—Continual improvement
Definition: The organisation has a systematic approach to improving all aspects of its operations. There is an effective internal audit function that identifies and promotes
opportunities for improvement.
Key performance measure
Practice requirement
KPM 4.1
4.1.1.
The Coordinator has in
place an effective internal
audit system.
The Coordinator has in place
formally defined internal
audit procedures or an audit
charter.
Minimum Evidence Requirements
a)
b)
4.1.2.
a)
The Coordinator ensures
internal audit activity is
effectively planned.
b)
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The audit charter or procedures are approved by the directors/board members, where relevant, and
outline the purpose, authority and responsibility of the internal audit function. The audit charter or
procedures detail:
i.
how the organisation ensures that the internal audit function improves the organisation’s overall
effectiveness
ii.
how management ensures the internal audit function remains an independent process, free of
operational interference; and
iii.
how the plan interlinks with the organisation’s risk and fraud management strategies.
Person(s) responsible for conducting internal audits:
i.
are independent, objective and impartial
ii.
should have a clear separation of duties from the Coordinators; and
iii.
possess the appropriate skills and competencies to undertake internal audits.
The Coordinator effectively plans internal audit activity by:
i.
preparing an internal audit schedule that is approved by directors/board members, where relevant
ii.
considering the size and complexity of the organisation to ensure internal audit activities provide
the organisation with sufficient assurance
iii.
adopting a risk-based approach to determining internal audit priorities; and
iv.
ensuring audits of the internal quality management system are undertaken, as well as Deed-related
compliance audits, where relevant.
The Coordinator undertakes internal audit activities as outlined in the organisation’s audit schedule:
i.
The Coordinator can demonstrate that all scheduled audits have been conducted.
ii.
Reasons why audits are undertaken outside the audit schedule are documented.
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Key performance measure
Practice requirement
KPM 4.2
4.2.1.
The Coordinator has in
place a systematic approach
to identifying and
implementing continual
improvement activities.
The Coordinator has in place
a continual improvement
register that is used to
monitor continual
improvement proposals and
the activities that address
them.
4.2.2.
Minimum Evidence Requirements
a)
a)
The Coordinator has in place
systematic reporting
mechanisms for
organisational performance.
4.2.3.
The Coordinator can
demonstrate how feedback
received from a variety of
sources informs the
implementation of continual
improvement activities.
4.2.4.
The Coordinator’s ongoing
performance against the
Quality Framework informs
continual improvement.
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a)
b)
a)
b)
The Coordinator can demonstrate that there is a continual improvement register and it is effectively
utilised, including demonstrating that:
i.
there is a systematic process to updating and monitoring the continual improvement register
ii.
the continual improvement register contains all corrective actions
iii.
the continual improvement register contains all current and completed activities
iv.
the continual improvement register contains issues/opportunities that have been informed by a
variety of sources
v.
the continual improvement register demonstrates the Coordinator’s timely response to identified
issues/opportunities; and
vi.
board members/directors, where relevant, regularly review the continual improvement register
and contribute to its ongoing development.
The Coordinator has in place appropriate mechanisms to measure and review performance of the
Employment Region and organisation level:
i.
These reviews include specific monitoring of the number, nature and distribution of Work for the
Dole Places across the Employment Region.
ii.
The Coordinator can demonstrate how ongoing performance monitoring has informed specific
performance improvement strategies.
The Coordinator can demonstrate how feedback received from Work for the Dole Host Organisations,
Employment Providers, the Department and other relevant stakeholders informs continual improvement.
The Coordinator ensures that this information is documented in the continual improvement register.
The Coordinator can demonstrate how it uses the Quality Framework and Self-Assessment Quality Report
to:
i.
actively consider observations, recommendations and opportunities for improvement outlined by
the auditor in order to improve the organisation’s effectiveness; and
ii.
inform continual improvement activities that are detailed in the continual improvement register.
The Coordinator can demonstrate that where non-conformity has been determined against the
Department’s Quality Principles, corrective action has been promptly taken, is reflected in the continual
improvement register and meets the required timeframes.
Effective Date: 7 December 2015
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Table 18—Non-conformance for Work for the Dole Coordinators
Classification
Major Non-conformance
Minor Non-conformance
Definition
A major non-conformance is defined as:
A minor non-conformance is defined as:
a)
a failure to satisfy at least one of the practice requirements
within a KPM
a)
b)
a failure to satisfy 50 per cent of the practice requirements
across a Quality Principle, regardless of which KPM they fall
under; or
c)
a failure to close out a minor non-conformance within six
months
Corrective Action Plan
Close out
failure to meet a practice requirement.
A Corrective Action Plan must be submitted to an Account
Manager within 20 business days of the closing meeting of the
audit containing:
A Corrective Action Plan must be submitted to an Account
Manager within 20 business days of the closing meeting of
the audit containing:
a)
the proposed action to be taken to address the nonconformance (that is downgrade to minor
non-conformance)
a)
the proposed action to be taken to address the nonconformance
b)
the timeframes of progress milestones (if any); and
b)
the timeframes of progress milestones; and
c)
c)
a determination as to whether the major non-conformance
can be closed out remotely or if further onsite audit
activity is required.
a determination as to whether the minor nonconformance can be closed out remotely or if further
onsite audit activity is required.
Close out of a major non-conformance is usually achieved by
downgrading it to a minor non-conformance.
National office must receive confirmation from the Account
Manager that the major non-conformance has been closed out or
downgraded within three months from the meeting of when the
major non-conformance was identified.
National office must receive confirmation from the Account
Manager that the minor non-conformance has been closed
out within six months from the meeting of when the minor
non-conformance was identified.
Once the major non-conformance has been downgraded, the
Coordinator must completely close out the minor
non-conformance in three months (that is, a maximum
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Classification
Major Non-conformance
Minor Non-conformance
timeframe of six months from the meeting of when the major
non-conformance was identified).
The original issue must be checked during the next performance
review, unless otherwise advised by the Department.
Consequence if Non-conformance is not
closed out within the required
timeframe
The Coordinator may be subject to remedial action under the
Work for the Dole Coordinator Services Deed 2015–2020.
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The Coordinator may be subject to action under the Work for
the Dole Coordinator Services Deed 2015–2020.
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Self-Assessment Quality Report Template
WORK FOR THE DOLE COORDINATOR ORGANISATION DETAILS
Employment Region:
Organisation Name:
Physical Address:
Contact Number:
Name and Signature:
Date Submitted:
DD / MM / YYYY
DEPARTMENT USE ONLY
Name and signature:
Date Received:
DD / MM / YYYY
Comments:
Quality Principles
Complete this form and submit to the relevant Account Manager by {DATE}. The Department will determine conformance to
a Quality Principle based on the detail provided against each Evidence requirement for each Practice Requirement as set out
at Attachment A of the Work for the Dole Guideline.
Quality Principle 1 - Governance
Note: You may reference your tender response against Criterion 1 (Governance) when responding to this Quality Principle at
the time of submitting this Self-Assessment Quality Report.
1.
Provide details of corporate governance arrangements and management systems that are in place to satisfy ethical,
legal and contractual requirements for the effective delivery of Work for the Dole Coordinator Services.
2.
Provide details of the procedures your organisation has in place for decision making and how the authority/delegations
within your organisation support your staff in undertaking their roles and responsibilities.
3.
Describe the mechanisms that are in place to ensure the ongoing financial health of your organisation.
Self Assessment Quality Report Template
4.
Provide details of the risk management arrangements your organisation have in place to manage workplace and
environmental risks, including details of disaster recovery plans.
Quality Principle 2 – Labour Market, Employment & Community
1.
Provide details of the strategies your organisation has in place that will assist your staff in securing Work for the Dole
Places that provide job seekers with skills that are in demand in the local labour market.
2.
Provide details of strategies that are in place that will identify job seeker cohort groups in the Employment Region,
including specific implementation strategies that will assist in securing Work for the Dole Places to meet the different
characteristics of these job seekers.
3.
Specify the policies and procedures your organisation has in place to assure the cultural competence of your staff.
4.
Provide details of how your organisation will develop, maintain and regularly utilise effective relationships with
Employment Providers and Work for the Dole Host Organisations in the Employment Region.
5.
Provide details of proactive strategies your organisation has in place for meeting the needs of Work for the Dole Host
Organisations.
Quality Principle 3 – Operational Effectiveness
1.
Provide details of the operating procedures your organisation has in place to ensure compliance with the jobactive
Deed 2015-2020 - Work for the Dole Coordinator and Work for the Dole Guidelines.
Self Assessment Quality Report Template
2.
Provide details of the operational procedures your organisation has in place to ensure that any changes to the
jobactive Deed 2015-2020 - Work for the Dole Coordinator and Work for the Dole Guidelines are promptly and
accurately reflected in your organisation’s own procedures and practices.
3.
Provide details on how your organisation has implemented any commitments, activities, plans and strategies that were
included in your response to the Request for Tender.
4.
Provide details of proactive strategies your organisation has in place for ensuring your staff is aware of probity and
accountability issues.
5.
Provide details of the policies and processes that your organisation has in place to ensure that personal information is
handled in a manner that is consistent with Privacy and other legislation.
6.
Provide details of processes and procedures your organisation has in place to ensure the expenditure of Work for the
Dole Coordinator service fees meet programme objectives.
7.
Provide details of your organisation’s invoicing processes and how these will ensure invoicing practices are
systematically applied throughout your organisation.
Quality Principle 4 – Continual Improvement
1.
Provide details of your organisation’s internal audit system, including details of internal audit procedures, audit charter
and strategies to effectively plan audit activities where relevant.
2.
Provide details of your organisation’s continual improvement register and how it is used to monitor continual
improvement proposals and the activities that address them.
Self Assessment Quality Report Template
3.
Provide details of the systematic reporting mechanisms your organisation has in place to monitor organisational
performance in the Employment Region.
4.
Provide details demonstrating how your organisation uses feedback received from a variety of sources to inform the
implementation of continual improvement activities.
5.
Provide details of how your organisation’s ongoing performance against the Quality Assurance Framework for Work for
the Dole Coordinators informs continual improvement.
Self Assessment Quality Report Template
New Enterprise Incentive Scheme Performance
Framework
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
•
Clause 28—Performance assessments
Section A6—Customer feedback—clause 30.5
Part C—New Enterprise Incentive Scheme
Clause 131—NEIS Key Performance Indicators.
Performance assessment
New Enterprise Incentive Scheme (NEIS) Providers will have their performance assessed against NEIS-specific
key performance indicators (KPIs), as outlined under clause 131 of the Deed. The KPIs are as follows:
NEIS KPI 1: Efficiency
a) the number of NEIS Places utilised within the Employment Region(s) specified at item 7.1 of Schedule 1
and
b) the number, or rate, of NEIS Participants that exit NEIS Services prior to completion of NEIS Assistance,
and the reasons for the exit(s)
NEIS KPI 2: Effectiveness
a) based on the number of NEIS Post-Programme Outcomes achieved and
NEIS KPI 3: Quality and Assurance
a) the NEIS Provider’s delivery of the NEIS Services in accordance with this Deed
b) the number of validated Complaints recorded via the Department’s National Customer Service Line and
the Department’s Employment Services Tip Off Line and the number of validated Complaints resulting in
ministerial correspondence and any Ombudsman Complaints for the relevant Performance Period; and
c) feedback received from NEIS Participants following any post-programme monitoring exercises
undertaken by the Department.
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Table 19- Each of the NEIS KPIs will be measured as follows:
KPI 1: Efficiency
Key performance measure
Practice requirement
Evidence
The NEIS Provider utilises allocated NEIS
Places within the Employment Region(s).
The NEIS Provider has in place appropriate strategic and
operational planning practices that enable them to fully
utilise all NEIS Places allocated to them within their
Employment Region during each performance period.
a) The number of NEIS Places allocated for a NEIS Provider, and the
number of NEIS Places used during the performance period, will be
captured in the Department’s IT Systems.
Reasons for NEIS Participants exiting NEIS
Assistance early
The NEIS Provider must discuss with all NEIS Participants
wanting to exit NEIS Assistance before 52 weeks of
providing the NEIS Participant’s reason for exiting, and
where appropriate, work with the NEIS Participant to
resolve any issues.
a)
A NEIS Provider must enter the reason why a NEIS Participant exits
NEIS Assistance in the Department’s IT Systems. The Department’s IT
Systems will identify those NEIS Participants who exit NEIS Assistance
at or before 52 weeks.
KPI 2: Effectiveness
Key performance measure
Practice Requirement
The percentage of NEIS Post-Programme
Outcomes achieved
The NEIS Provider delivers effective NEIS Services that result
in a NEIS Post-Programme Outcome.
Evidence
a) The Department’s IT Systems will automatically identify those exited
NEIS Participants who achieve a Post-Programme Outcome.
KPI 3: Quality and assurance
Key performance measure
Practice requirement
The NEIS Provider’s procedures and
practices support the delivery of the NEIS
Services in accordance with the Deed.
The NEIS Provider has a strategy in place to ensure
compliance with the Deed and NEIS Guidelines.
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Evidence
a) The NEIS Provider has documented policies and procedures that
reflect their servicing strategies and compliance with the Deed.
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The number of validated complaints for the
relevant Performance Period received via
the Department’s National Customer
Service Line, the Department’s Employment
Services Tip Off Line, Departments PostProgramme Monitoring Survey, ministerial
correspondence and any Ombudsman
Complaints.
The NEIS Provider has in place strategies for monitoring job
seeker satisfaction regarding the NEIS Services delivered
and addressing complaints when raised.
a) The Provider has in place documented policies and procedures to
support the raising of complaints and feedback. The policies detail:
i.
ii.
iii.
how complaints and feedback are used to improve service
delivery
how the outcome of a complaint is communicated to the
complainant
escalation procedures.
b) The complaints and feedback process is implemented consistently
across the organisation:
i.
ii.
iii.
Staff can readily access the complaints procedure and can
articulate the process.
Complaints are referred to the Department of Employment
when required.
Complaints are investigated by an appropriately senior staff
member.
c) Records of complaints are maintained and include:
i.
ii.
iii.
iv.
detailed information relating to the complaint, including the
date of the complaint and who the complaint relates to
steps taken to resolve the complaint
the outcome of any investigation
any follow-up action required.
d) The Provider’s feedback mechanism is open and transparent:
i.
ii.
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NEIS Participants are aware of feedback and complaints
procedures and feel comfortable to raise a complaint
without fear of retribution.
Feedback from NEIS Participants indicates that complaints
lodged have, or are being, resolved.
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NEIS Providers delivering NEIS Training are
a Registered Training Organisation (RTO)
certified against the Australian Skills Quality
Authority (ASQA) Standards.
NEIS Providers delivering NEIS Training are Registered
Training Organisations (RTO).
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a) NEIS Providers delivering NEIS Training are subject to Australian Skills
Quality Authority compliance and accreditation regime.
b) Those NEIS Providers who do not deliver NEIS Training must ensure
NEIS Prospective Participants are referred (in the Department’s IT
Systems) to an RTO for NEIS Training.
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Performance reviews
Performance discussions will underpin the contractual relationship between the Department and
individual NEIS Providers over the life of the Deed. The timing for these are:
•
•
•
formal performance discussions—will be held annually
end of performance discussions—will be held every six months
ad hoc informal performance discussions—can be conducted at any time, e.g. if the
Department received complaints about a NEIS Provider’s Services.
Poor performance may lead to a reduction in a NEIS Provider’s allocated NEIS Places during business
reallocations scheduled 18 and 30 months into the Deed, or the NEIS Provider could receive Notice
from the Department to discontinue providing NEIS Services, as outlined in clause 132 of the Deed.
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Harvest Labour Services Performance Framework
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
Clause 28—Performance assessments
Section A6—Customer feedback—clause 30.5
Part D—Harvest Labour Services.
Performance assessment
Harvest Labour Services (HLS) Providers will have their performance assessed annually after the
relevant Harvest Periods. HLS Providers must supply comprehensive quarterly and annual Reports to
the Department (in accordance with clause 135.8 of the Deed and Harvest Labour Services Guideline).
Each Report will include details of:







provision of marketing and promotional activities, outlining steps taken to attract Harvest
Workers, including those in receipt of an income support payment
details of liaison with Harvest Employers and their representative organisations (including
names and methods of engagement)
methods used to canvass Harvest Vacancies from current and prospective Harvest Employers
flow of information to and from the National Harvest Labour Information Service (this does
not include individual Harvest Vacancies that flow through the Department’s IT Systems)
details of any reports made to the Fair Work Ombudsman or the Department of Immigration
and Border Protection regarding any potentially illegal practices of private labour hire
contractors operating in the Harvest Areas
itinerant worker numbers and movement into and out of the Harvest Area
other issues and concerns arising out of the Harvest Work.
In addition, the annual Report will include:





a review and analysis of the year’s harvest
Harvest Vacancy lodgement details (numbers of Harvest Vacancies lodged and numbers of
positions available)
Harvest Placement details (including reasons for not fulfilling Harvest Employer requirements)
Harvest Employer feedback
any issues of concern.
HLS Providers do not have set KPIs, but will be assessed on:




contract compliance
placement volumes
the reasonable unit cost per placement for the overall HLS in the Harvest Area is considered
‘value for taxpayer dollar’—assessment of value for money may be based on the following
formula:
o (Anticipated Placement number per year x $49.50) + $215,600 (4 x quarterly service fee)
Anticipated Placement number per year
maintenance of ‘Other Harvest Labour Services’, as described by clause 134.6.
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National Harvest Labour Information Service
Performance Framework
Relevant Deed clauses
The relevant clauses in the Deed are:
•
•
•
Clause 28—Performance assessments
Section A6—Customer feedback—clause 30.5
Part E—National Harvest Labour Information Services.
Performance assessment
The National Harvest Labour Information Service (NHLIS) Provider will have its performance assessed annually.
The NHLIS Provider does not have set KPIs and will be assessed on the annual Reports it must submit to the
Department within 15 Business Days of 30 June for each year of the Term of the Deed (in accordance with
clause 136.10).
Additionally, the NHLIS Provider must supply comprehensive quarterly Reports to the Department (in
accordance with clause 136.10) and its Account Manager may choose to conduct a performance discussion
earlier if any of the Reports raise areas of concern.
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