Family Support Program
Performance Framework Service
Provider Help Guide
April 2013
Contents
Performance Framework Service Provider Help Guide.......................................................... 1
1
2.
3.
4.
5
Background ................................................................................................................ 3
1.1
Objectives ............................................................................................................ 3
1.2
FaHCSIA Standard Performance Framework ...................................................... 3
1.3
Development of the FSP Performance Framework .............................................. 4
1.4
FSP Performance Framework Edition 1 ............................................................... 4
1.5
Ethical considerations .......................................................................................... 8
Data collection for immediate client outcomes ............................................................ 9
2.1
Immediate outcomes / impacts: Did we make an immediate difference? ............. 9
2.2
Steps in collecting immediate client outcomes data ............................................. 9
Data collection for intermediate client outcomes ........................................................14
3.1
Intermediate outcomes / impacts: Did we make a lasting difference? .................14
3.2
Steps in collecting intermediate client outcome data ...........................................15
Other data collection for the FSP Performance Framework .......................................20
4.1
Service delivery quality: How well have we done it? ...........................................20
4.2
Service Outputs: How much did we do? .............................................................21
Key dates...................................................................................................................22
Attachments......................................................................................................................23
Attachment A: Pick list of questions for each performance indicator ..............................24
Attachment B: Sample surveys and data collection methods .........................................29
Attachment C: Family Support Program Ethical Framework for the Collection of
Performance Information ...............................................................................................44
1
Background
1.1
Objectives
This Help Guide is designed to assist service providers to collect the client outcome
information required under the Family Support Program (FSP) Performance
Framework.
Client information, including demographic and client outcomes, constitutes a key
component of the FSP national data collection. The purpose of the data collection is
to collect and report reliable, nationally consistent information about the delivery of
FSP services.
This Help Guide should be used in conjunction with other FSP information provided
on the FaHCSIA website. It is important for service providers using this Help Guide
to be familiar with the FSP Guidelines, the FSP Approval Requirements, the FSP
Performance Framework and the terms of their Funding Agreement.
The information provided in this Help Guide relates only to the Performance
Indicators in the FSP Performance Framework. Funding Agreement specific
Performance Indicators are not covered by this Help Guide.
1.2
FaHCSIA Standard Performance Framework
The Standard Performance Framework aims to provide a consistent, logical and
streamlined basis for monitoring and reporting FaHCSIA’s performance in achieving
Australian Government outcomes. Specifically, the Standard Performance
Framework aims to ensure:

there is a clear line-of-sight between monitoring and reporting the performance
of individual funded activities, overall program performance and the
contribution of these programs to the achievement of FaHCSIA outcomes;

valid and comparable indicators are used to measure performance; and

business efficiencies are achieved.
The Standard Performance Framework is focused on high-level reporting to
communicate our achievements against explicit performance requirements or
expectations.
The FSP Performance Framework mirrors the FaHCSIA Standard Performance
Framework and aims to monitor and report the FSP’s performance in achieving the
program outcomes.
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1.3
Development of the FSP Performance Framework
The FSP Performance Framework was designed using the FaHCSIA Standard
Performance Framework as a base.
Edition 1 of the FSP Performance Framework was developed as part of the
implementation of the reformed FSP, which came into effect from 1 July 2011. The
FSP Performance Framework is an outcomes-based approach to program reporting.
FaHCSIA developed the FSP Performance Framework in partnership with a number
of service providers within the Family Support Program.
1.4
FSP Performance Framework Edition 1
The FSP Performance Framework is available on the FaHCSIA website. Edition 1
incorporates service provider feedback from consultations and pilot testing activities
on data collection methods.
This Guide contains practical information to assist service providers to report data for
relevant FSP Performance Framework performance indicators, including a list of
questions that can be used to measure each performance indicator (Attachment A)
and data collection methods (Attachment B). In addition to this Guide, FaHCSIA
Activity Managers will support service providers to collect data in support of the FSP
Performance Framework.
Reporting against the FSP Performance Framework is a requirement under Section
B.3 of the Funding Agreement Schedule and in Section 4 of the FSP Program
Guidelines.
Purpose of the FSP Performance Framework
The FSP Performance Framework is one key way to demonstrate the effectiveness
of the whole FSP. The FSP Performance Framework aims to:

ensure services are clearly focussed on achieving positive outcomes for
clients;

provide a logical and consistent approach for measuring outcomes across the
program; and

link the performance reporting of specific activities to the overall program
performance including the achievement of FSP outcomes.
Outcomes-based approach of the FSP Performance Framework
The FSP Performance Framework is outcomes-based, meaning that it details how
the FSP operates and achieves its outcomes.
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The FSP Performance Framework is divided into four sections.

Intermediate outcomes: Client and community outcomes expected from the
FSP in the medium term (3-6 months after service).

Immediate outcomes: Client outcomes expected as a result of the FSP in the
short term (at the time of service). These in turn contribute to the intermediate
outcomes.

Service delivery quality: How well the service is being delivered in order to
achieve the immediate outcomes (for example, to the satisfaction of clients), in
collaboration with other agencies.

Service outputs: Outputs / deliverables of the FSP services that contribute to
achieving immediate outcomes (for example, number of clients, number of
service sites).
In the past service reporting has largely focussed on measuring outputs and service
quality, with some outcomes for clients reported through narratives or stories.
Inclusion of intermediate and immediate outcomes in the FSP Performance
Framework enables measurement of how much is being done, how well it is being
done and the impact service activities are having for clients.
Links between FSP Program outcomes and the Performance Indicators
Reporting under the FSP Performance Framework is used to demonstrate the FSP is
contributing towards achieving the FaHCSIA departmental Outcome 1: Families and
Children.
The objectives and outcomes in the FSP Performance Framework feed into the
Families programs outcomes (see the line of sight between FaHCSIA Outcome and
FSP Performance Framework – Diagram 1.1).
Outcome 1: Families and Children1
Improved child development, safety and family functioning through support services
for all Australians, payments for low and medium income families with children and
child support policy.
1
FaHCSIA Portfolio Budget Statement 2012-2013, Section 2: Outcomes and planned performance, p37
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Program 1.1 Family Support Objective2
The Family Support program is a suite of services to support families, to improve
children’s wellbeing, development and safety and to enhance family functioning. The
reformed Family Support Program, which came into effect from 1 July 2011, provides
increased support to vulnerable children and families, promotes collaboration, and
reduces red tape for service providers.
Program 1.1 Family Support Program Component: Family and Children
Services
To provide services to families, particularly those who are vulnerable, disadvantaged
or live in disadvantaged communities, to improve family functioning and safety, and
child wellbeing and development
2
FaHCSIA Portfolio Budget Statement 2012-2013, Section 2: Outcomes and planned performance, p40
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Diagram 1.1: Line of sight between FaHCSIA Outcome and FSP Performance Framework
Portfolio Budget
Statement
FSP Performance Framework
Families function well in nurturing and
safe environments
Client outcomes
Children and families have the knowledge
and skills for life and learning
Intermediate outcomes
Immediate Outcomes
Families, including children, especially
those who are vulnerable or
disadvantaged, benefit from better social
inclusion and reduced disadvantage
To provide services to families,
particularly those who are
vulnerable, disadvantaged or live in
disadvantaged communities to
improve family functioning and
safety, and child wellbeing and
development
Organisations provide integrated services
and work in collaboration with other
services and the community
Service delivery quality
Service system outcomes
Service Outputs
Services focus on vulnerable and
disadvantaged families and children
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Flexibility of the FSP Performance Framework
As reporting for the FSP Performance Framework is required for all FSP services,
some flexibility has been built into its design.

All services will have the flexibility to choose the two intermediate (green)
performance indicators most appropriate to their service.

Flexibility has also been built into the questions used to collect information
against the FSP Performance Framework. A list of questions service
providers can ask clients for each performance indicator is provided at
Attachment A. The list will assist service providers to select questions most
appropriate to their service.

Service providers have flexibility to select the most appropriate period in which
to collect immediate and intermediate client outcomes.
A range of sample documents that may be used for data collection is provided at
Attachment B. Service providers can select the method most appropriate for their
clients and service type. Service Providers may also adapt their own collection
methods to collect data for the performance indicators.
FaHCSIA data collection methods and reporting requirements aim to reduce the
burden of collection on service providers and allow service providers to incorporate
FSP data collection into their existing follow-up processes.
1.5
Ethical considerations
Service providers must collect data in accordance with the FSP Ethics Framework for the
Collection of Performance Information (Attachment C). This Ethics Framework was first
developed in 2011. In 2012, the Ethics Framework was updated to include ethical
considerations for surveying children. The Ethics Framework is based on best practice for
collecting data for human research.
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2.
Data collection for immediate client outcomes
2.1
Immediate outcomes / impacts: Did we make an immediate difference?
Immediate client outcomes refer to the performance indicators coloured pink and numbered
2.1 to 2.4 in the FSP Performance Framework. There are four immediate outcomes
performance indicators in Edition 1.
Note: All services are encouraged to collect feedback from clients in all locations
throughout the year to assist with internal evaluation and continuous
improvement of services.
Immediate client outcomes (or client feedback) should be collected at or near the
time of service.
To report immediate client outcome data service providers must:

select a 4 week period (20 consecutive representative working days);

survey all clients from all locations attending the service/s in this period. It is
expected a minimum of 50% of clients will respond; and

where possible, collect immediate outcomes anonymously.
The four week period should be a period of service delivery representative of usual
provision, when sufficient numbers of clients can be asked for feedback. This means
that if a service is delivered only one day a week, only four days of data collection is
required. If the same clients access the service on each of those four days, they will
only need to be surveyed once. A different 20 day period may be used for each
Activity.
Note: These data show outcomes at the service provider level and is used to assess
service provider performance.
2.2
Steps in collecting immediate client outcomes data
The following diagram shows steps service providers must undertake as part of the
immediate data collection process. As service providers progress through the steps
it may be useful to document a data collection plan for their records. The plan may
vary for each Activity.
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Immediate client data collection process
Step 1: Identify the Performance
Indicators by Activity.

Step 2: Choose whether to adapt
existing collection methods or adopt a
new collection method

Step 3: Identify appropriate questions for
each Performance Indicator from pick list
or seek approval for alternate questions

Step 4: Discuss collection method and
questions with FaHCSIA Activity
Manager

Step 5: Collect data

Step 6: Collate data and report by
Activity in Annual Service Report or
Performance Report due 31 July
These steps are expanded upon in the relevant sections below.
Step 1: Identify the relevant FSP Performance Indicators
Some of the immediate outcome performance indicators that service providers must
report cross over with those listed in the Funding Agreements, while others are
uniquely from the FSP Performance Framework.
There are four immediate performance indicators included in the FSP Performance
Framework. All services except Community Playgroups must collect data against all
immediate PI’s. Community Playgroups collect data on PI 2.1 and 2.2 only. The
table below outlines which services should collect information against each
performance Indicator.
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Ref Performance indicator
FLS, FaRS,
Specialist
Services
CfC
Community
Playgroups
2.1
Proportion of clients with
increased knowledge and skills



2.2
Proportion of clients satisfied with
the service they received



2.3
Proportion of clients with
improved access / engagement
with services


N/A
2.4
Proportion of clients with
improved family, community and
economic engagement


N/A
Service providers experiencing difficulty collecting data for the required performance
indicators, should discuss this with their FaHCSIA Activity Manager.
Step 2: Adapt or adopt a collection method
The next step is to choose the data collection method. Sample questionnaires are
located in Attachment B.
For immediate outcomes, the most suitable method is an anonymous survey
supplied at the time of service (Sample 1, Attachment B).
Service providers can use existing collection methods so that continuous monitoring
is not interrupted. While anonymous data collection is preferred, in some cases, it
may not be appropriate. Service providers who do not consider anonymous data
collection to be appropriate should discuss this with their FaHCSIA Activity Manager.
If an anonymous survey is not appropriate, alternate methods that may be
considered suitable include:

Interview (in person or via telephone). This may be most suitable for clients
with limited English or literacy;

Focus group. It may be appropriate to ask clients for feedback as part of a
group session, depending on the activity and the clients; and

Service provider judgement. This may be used when it is inappropriate or
too difficult to elicit information directly from clients. In this method, the service
provider would judge client achievement of the performance indicator.
Observations for all clients should be reported (this can include ‘don’t know’).
For example, for a group of 10 clients, 8 of whom increased knowledge and
skills has been observed, the results reported would be total 10, 8 positive and
2 ‘don’t know’.
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Samples of these collection methods are located in Attachment B.
Step 3: Identify questions for each performance indicator relevant to the
Activity and client/s
For each performance indicator listed in Step 1, review the pick list of questions and
select those appropriate / relevant to the Activity and clients (Attachment A).

While different questions may be used on separate occasions, each client is to
be asked to respond to only one question per performance indicator. This is
to avoid the difficulty of reporting where a client may respond both positively
and negatively for the same performance indicator.

The service provider can select the most relevant question, or alternatively
present a selection of questions with instruction for the client to select the
most appropriate. The question/s used can vary to suit the client/s and
activity.

Questions in the immediate client data collection pick list are coloured pink.
Alternative / modified questions to those on the pick list can be used after
discussion with the FaHCSIA Activity Manager.
In addition to the pick list questions, Service Providers are encouraged to include
open-ended questions to collect qualitative data. Open-ended questions allow
service providers to seek information on clients’ opinions about what works, what
doesn’t work, and make suggestions for improvements to the service. Service
providers are not required to report to FaHCSIA on qualitative feedback from clients.
Where service provider judgement has been selected as the collection method, the
last page of the pick list (Attachment A) provides guidance on considering how clients
will be assessed.
Note: Care must be taken not to use leading questions or questions that indicate an
expected answer. Genuine responses, including negative responses, are more
valuable for indicating service quality and identifying areas that can be improved.
Step 4: Discuss collection method and selected questions with FaHCSIA
Activity Manager
All collection methods and questions should be discussed with the FaHCSIA Activity
Manager before they are used. Activity Managers will check that.

the method is suitable;

questions used align with the performance indicators; and

all required performance indicators have been included.
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Step 5: Collect data
Once the collection method and questions have been agreed with your FaHCSIA
Activity Manager, data collection can commence.

Immediate client data will be collected within a 20 consecutive representative
working day period (four weeks), at any time during the financial year. The
time of collection is chosen by the service provider. (That is, Community
Partners can choose different 20 day periods from each other. Facilitating
Partners will submit aggregated data for all Community Partners). The period
selected must be representative of usual service delivery and may vary for
each Activity.

All clients from all service locations using the service during the four weeks
should be given the opportunity to provide feedback. It is expected that at
least 50% of clients will respond to the survey and that 80% of responses will
provide a satisfactory rating.

Each client should only respond to the survey once per Activity.
A client is a person who receives direct service delivery, excluding intake and
assessment, information only, and referrals.
In some cases, services may only be delivered on a limited number of days in the
collection period. If a provider delivers the service two days a week, then collection
would only be needed on 8 days within the four week period.
Information must be stored as required by the Privacy Act 1998.
Step 6: Collate data and report
Service providers are required to collate all responses gathered over the 20
consecutive working day period (four weeks) for reporting at the end of the financial
year. The client outcomes data requested in the Annual Service Report or the
January-June Performance Report will include:

the number of clients accessing the service during the four week period;

the number of clients who responded to the survey; and

the number of clients who “agree”, “disagree” or “don’t know” for each
performance indicator.
All data must be reported for each Activity. The funded organisation must report for
all sub-contracted organisations.
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3.
Data collection for intermediate client outcomes
3.1
Intermediate outcomes / impacts: Did we make a lasting difference?
Intermediate client outcomes refer to performance indicators coloured green and
numbered 1.1 to 1.4 in the FSP Performance Framework. There are four
intermediate outcome performance indicators.
Intermediate client outcomes are to be measured:

3 – 6 months after clients leave the service; or

more than 6 months after commencing the service for clients who are still
accessing services.
Under the FSP Performance Framework, service providers must report on two
intermediate performance indicators.
Services should select at least two intermediate outcome performance indicators
which are most relevant for their service.
Intermediate outcomes should only be collected from clients who have accessed
services within the current financial year and who have provided consent to
follow-up. Clients should be asked for consent to follow-up at the time of
commencing the service.
Note: Clients must be asked for consent to follow-up to allow services to contact
them at a later time. Where the client is aged under 16 years, the parent / guardian
must provide consent and follow-up should be sought with this adult.
Each service provider will be required to collect intermediate client outcome data on
a small sample of their clients.

The sample size will be based on the number of clients attending the service
in the July-December period.

The number of clients to be sampled will be provided by FaHCSIA at the end
of March for each service type.3 The timing of this may be affected by the late
submission of Performance Reports.

Service providers will report their results in the Annual Service Report or
six-monthly Performance Report due on 31 July each year.
3
The sampling will be based on FSP data at the Activity level. The sampling will be based on 5% confidence intervals with a
95% confidence level.
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Note: Providers should not report on more responses than the sample number
requested by FaHCSIA. The sample number has been determined to provide
statistically significant results when combined across the program. Providing a larger
number of responses skews the results making the data not meaningful for program
analysis purposes.
Exemptions from collecting intermediate client outcomes may apply in special
circumstances. Service providers should contact their Activity Managers if difficulty
arises in the collection of these data.
Note: These data show outcomes at the program level, they are not used to assess
service provider performance.
3.2
Steps in collecting intermediate client outcome data
The diagram shows the steps service providers will undertake as part of the data
collection process for intermediate outcomes. As service providers progress through
the steps, it may be useful to document a data collection plan for their records. The
plan may vary for each service type provided.
Intermediate client data collection process
Step 1: Identify the Performance Indicators by
Activity.

Step 2: Choose whether to adapt existing
collection methods or adopt a new collection
method

Step 3: Identify appropriate questions for each
performance indicator from pick list or seek
approval for alternate questions

Step 4: Discuss collection method and questions
with FaHCSIA Activity Manager

Step 5: FaHCSIA to provide number of clients to
follow-up by Activity

Step 6: Identify list of clients to survey

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Step 7: Collect data

Step 8: Collate data and report by Activity in
Annual Service Report or Performance Report due
31 July
These steps are expanded upon in the relevant sections below.
Step 1: Identify the relevant FSP Performance Indicators
Service providers should select a minimum of two FSP Performance Framework
performance indicators listed below to report for each Activity.
Performance Indicator 1.1
Proportion of clients with improved family
functioning including child wellbeing.
Performance Indicator 1.2
Proportion of children with improved
development
Performance Indicator 1.3
Proportion of clients that live in safer family
and community environments
Performance Indicator 1.4
Proportion of clients who are included in and
socially connected to the community
Service providers may select different indicators for each Activity.
Step 2: Adapt or adopt a collection method
The next step is to choose the data collection method. For intermediate outcomes, a
telephone interview is the most suitable method (Sample 2, Attachment B). Service
providers are able to use any question from the pick list for each performance
indicator (Attachment A). Alternative questions can be used after discussion with the
FaHCSIA Activity Manager.
If an interview is not appropriate, other methods are:

Focus group. This may be used in a situation where a group of clients is
using a service for six months or more;

Survey or questionnaire. This method has limited use for collection of
intermediate outcomes due to low response rates for mailed surveys; and

Service provider judgement. This may be used where clients are still using
the service six months after commencement and it is inappropriate or too
difficult to elicit information directly from them. In this method, the service
provider would judge client achievement of the performance indicator. For this
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method, a random sample of clients should still be used and reported (this can
include ‘don’t know’).
A sample of these collection methods is located in Attachment B.
Step 3: Identify questions for each performance indicator relevant to the
Activity and client/s
For each performance indicator selected in Step 1, service providers choose a
question from the pick list (Attachment A). Questions in the intermediate client
outcome pick list are coloured green. Each client should respond to only one
question per performance indicator. Service providers will be following up a small
number of clients and should tailor questions to best suit individual clients/the
Activity.
In addition to the pick list questions, service providers are encouraged to include
open-ended questions to collect qualitative data. Open ended questions allow
service providers to seek information on clients’ opinions about what has worked,
what didn’t work and make suggestions for improvements to the service. Service
providers are not required to report to FaHCSIA on qualitative feedback from clients.
Note: Care must be taken not to use leading questions or questions that indicate an
expected answer. Genuine responses, including negative responses are more
valuable for indicating service quality and identifying areas that can be improved.
Step 4: Discuss collection tools and selected questions with FaHCSIA Activity
Manager
All collection methods and selected questions should be discussed with the FaHCSIA
Activity Manager before they are used. FaHCSIA Activity Managers will check that:

the method is suitable;

questions used align with the performance indicators; and

the required performance indicators have been included.
Step 5: Sample numbers to be provided by FaHCSIA
Intermediate client outcomes sample numbers are distributed by FaHCSIA to service
providers at the end of March. The number of clients to follow-up will be based on
the number of clients who attended the Activity in the July-December period of that
financial year.
The sample size will vary for different Activities with a minimum of 5 and a maximum
of 30 clients per Activity. The sample is based on the number of clients utilising the
service across the FSP and will provide statistically significant results at the Activity
level.
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Step 6: Identify the list of clients who can be followed up
To identify appropriate clients for follow-up, check your client records for a list of
clients who have:

consented to be followed up (or parent / guardian consented where client is
aged under 18 years);

accessed the service within the required period (completed service within the
last 3-6 months or receiving the service for 6 months or more);

provided appropriate contact details; and

no specific reasons not to follow-up (for example, mental health issues,
substance abuse or could be placed at risk by contact.) (See Attachment C.)
Step 7: Collect data
Clients to follow-up for intermediate outcomes should be randomly selected from the
list created above (for example, every third name). Where the client is aged under
18 years, follow-up should be sought from the consenting adult. Some clients may
not give feedback or not be contactable. If this is the case, continue to contact
clients from the list until the sample number has been reached. Since the sample
number to follow-up is small, it is possible that the clients followed-up will not come
from all outlets. Report data from all clients who provided feedback; both positive
and negative results are expected.
Follow-up will primarily be undertaken by a person who was not involved in providing
the service. However, it may be preferable for the person who provided the service
to assess whether follow-up is appropriate (referring to the Ethics Framework at
Attachment C) and, in some special circumstances, conduct the follow-up
themselves.
Example: For some clients / groups, using the bond or trust established between the
service provider and the client may be necessary to the client providing feedback.
Random selection is an important aspect of the collection of intermediate outcomes.
If a combined list of consenting clients from all Activities is difficult to create, outlet/s
or Activities can be randomly selected. The consenting clients from these outlet/s or
Activities can then be selected and contacted until the sample number has been
reached. Some form of random selection must also be applied if the focus group or
service provider observation methods are used. This could be to randomly select the
Activity and clients (for example: the first 10 clients to arrive on a particular day).
Where an Activity is located on more than one location, the sample number should
be distributed across the sites. For example, if there was a sample of five clients to
be surveyed and two sites delivering an Activity, three clients would be surveyed
from one site and two from the second site.
Information must be stored as required by the Privacy Act 1998.
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Service providers who are unable to reach the required sample number, should
discuss this with their FaHCSIA Activity Manager.
Step 8: Collate data and report
Service providers are required to collate their data in preparation for reporting at the
end of financial year. The client outcomes data requested in the Annual Service
Report or the January-June Performance Report will include:

the number of clients who provided feedback; and

the number of clients who “agree”, “disagree” and “don’t know” for each
performance indicator.
The data must be reported for each Activity.
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4.
Other data collection for the FSP Performance Framework
In addition to the collection of immediate and intermediate client outcomes data,
service providers will collect other forms of data for the FSP Performance
Framework. The FSP Performance Framework contains two additional parts,
relating to Service Delivery Quality and Service Outputs. Information collected for
these performance indicators is part of the existing questions in the Annual Service
Report and CfC Performance Reports.
4.1
Service delivery quality: How well have we done it?
Service delivery quality performance indicators are shown in red in the FSP
Performance Framework. There are three performance indicators in Edition 1.
Performance indicator 3.1 - Proportion of clients from priority groups
FaHCSIA’s priorities include providing services to a number of vulnerable groups.
This includes engaging disadvantaged Australians in quality services under the FSP.
Most FSP services are required to have a Client Access Strategy.
FSP Services are required to collect and report data on vulnerable groups, which
may include but are not limited to:

Aboriginal and Torres Strait Islander families;

Culturally and Linguistically Diverse families;

low income families; and

young parent families.
Performance indicator 3.2 - Proportion of partner agencies reporting
satisfaction with the contribution of the service providers to integrated service
delivery
Each second year, service providers will be required to nominate three organisations
as ‘partner agencies’ that they work with. (Excludes sub-contracted agencies, e.g.
Community Partners and consortia). It is recommended that service providers notify
their partner agencies before this nomination and confirm contact details of the most
appropriate person for FaHCSIA (or FaHCSIA contracted organisation) to contact.
The nominated partner agencies will be asked to complete a survey on how satisfied
they are with their relationship with the service provider. Responses will be provided
in confidence. An example of the survey used in 2012 is in Attachment B, Sample 6.
Details of any organisation contracted to conduct partner agency surveys will be
given to service providers before the survey process commences.
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Performance indicator 3.3 - Proportion of service providers that meet approval
requirements
FaHCSIA will measure the number of service providers who meet the items listed in
the Family Support Program (FSP) Approval Requirements, which is available on the
FaHCSIA website. This will be assessed through information provided in the
Performance Reports or Annual Services Report and by FaHCSIA Activity Managers.
4.2
Service Outputs: How much did we do?
Service outputs performance indicators are shown in yellow in the FSP Performance
Framework. There is one performance indicator listed in Edition 1.
Performance indicator 4.1 -Number of

clients by demographic characteristics

service events / activities

service sites (and locations)
FaHCSIA will collate the information from all service providers to report program-wide
data. This will include details on the demographic characteristics of clients including
vulnerable groups, total clients assisted, service type breakdown and locations /
numbers of service sites.
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5
Key dates
Activity
Date
Collect client feedback over 20 working days (immediate
outcomes)
July 2012 to June 2013
July-December CfC Performance Report due
28 February 2013
FaHCSIA provides number of clients to follow-up
31 March 2013
Follow-up sample of clients (intermediate outcomes)
April to June 2013
Report aggregated client data in Annual Service Report or
January-June Performance Report
31 July 2013
Collect client feedback over 20 working days (immediate
outcomes)
July 2013 to June 2014
July-December CfC Performance Report due
28 February 2014
FaHCSIA provides number of clients to follow-up
31 March 2014
Nominate three partner agencies
April 2014
Follow-up sample of clients (intermediate outcomes)
April to June 2014
Report aggregated client data in Annual Service Report or
January-June Performance Report
31 July 2014
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Attachments
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Attachment A: Pick list of questions for each performance indicator
The FSP Performance Framework came into effect from July 2011. This pick list
contains questions for collection of data for each of the performance indicators for
intermediate (green) and immediate (pink) client outcomes.
Service providers are required to:

select at least two intermediate (green) performance indicators to collect and
report data;

refer to the Help Guide for immediate (pink) performance indicators required to
be collected and reported on; and

select one question against each performance indicator. Alternative
questions can be used for the performance indicators with approval from
FaHCSIA.
Service providers may ask clients other questions in addition to those used to collect
client data for their own records or to assist with continuous improvement.
PF Ref
Performance
Indicator
Questions
1.1
% clients with improved
family functioning
including child
wellbeing
As a result of the service I received…
Responses:
disagree / agree / don’t know
Relationships and communication in my family are improved
My relationship with my child has improved
Communication in our family has improved
I feel more confident as a parent
My relationship with my partner / ex-partner has improved
My relationship with family members has improved
My child’s relationships with others has improved
Our parenting arrangements are workable
There is better communication about our children’s needs
My family gets along better
My family talks more with each other
I am able to deal with the relationship issues with my partner /
ex-partner in a constructive / positive manner.
My relationship with the other parent has become more
relaxed during change overs
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PF Ref
1.2
Performance
Indicator
% children with
improved development
Questions
As a result of the service I received…
Responses:
disagree / agree / don’t know
My child’s development has improved
I interact more positively with my child
I have and I use new ways to play with and teach my child
I have used other service/s to help my child learn and develop
I am better able to help my child to learn
I have a better understanding of activities that help my child
learn
I have a stronger relationship with my child
I have a better understanding of the role I play in my child’s
learning
I am better able to understand reasons for my child’s
behavioural changes
1.3
% clients that live in
safer family and
community
environments
As a result of the service I received…
Responses:
disagree / agree / don’t know
I feel safer in my own home
I feel safer in my community
There is less conflict in our family
Members of our family feel safer
My child experiences less conflict
Attending this service makes my home life better
I have skills to keep my child safe
There is less conflict with my child's other parent
1.4
% clients who are
included in and socially
connected to their
community
As a result of the service I received…
Responses:
disagree / agree / don’t know
I feel connected to my community
I could find and go to services to help my child / family if I
needed to in the future
I have more contact within the community
I feel more socially connected
I am able to get support when I need it
I feel more included in my community
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PF Ref
Performance
Indicator
Immediate outcomes / impacts
Questions
2.1
As a result of the service I received…
2.2
% clients with improved
knowledge and skills
% clients satisfied with
the service they
received
% clients reporting that
the service was
responsive / respectful
of their needs and / or
cultural background
Responses:
disagree / agree / don’t know
I know more about how to care for and parent my child
I am more able to care for and parent my child
I know more about how to help and support my child to
develop
I know more about how to find help to support my child to
develop
I am more able to find help to support my child to develop
I have new skills and knowledge to use in my family
relationships
My relationships with my family have improved
Parenting arrangements are workable
I am more confident in parenting my child
I know what my child should do at this age
I know more about how to help my child do new things
I have new strategies to deal with conflict with my child’s other
parent
As a result of the service I received…
Responses:
disagree / agree / don’t know
I am satisfied I received adequate information (including
referrals to other services) to meet my needs
I am satisfied with the service I received
I would recommend this service to others
I feel I was treated with respect
I was clear about the expectations that my practitioner(s) and I
were working towards
The service was respectful of my cultural needs
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PF Ref
2.3
2.4
Performance
Indicator
% clients with improved
access / engagement
with services
% clients with improved
family, community and
economic engagement
Questions
As a result of the service I received…
Responses:
disagree / agree / don’t know
I can find and go to services to help me with family issues
when I need to
I am able to use and get useful help from community services
to help me with family issues
I can find services when I need them
I am more confident about finding and going to family services
I am able to access community services to get help with family
issues
I have information about other services to meet my family’s
needs
As a result of the service I received…
Responses:
disagree / agree / don’t know
I will have more contact with family, friends and / or
community members
I am aware of more activities in my community
My relationship with my partner has improved
My relationship with my children has improved
My relationship with other family members has improved
There will be less conflict in our family
Members of my family are safer
I feel better able to cope or deal with my issues
I am more connected to people
I now help or support others in my community
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Service Provider observation
For most clients, surveys to ask their experience of the service and what benefits they may
have received is the best way to collect outcomes data. However, in some cases asking
clients directly about outcomes from the service is not appropriate. All service providers
must first discuss using observation to report on performance indicators with their FaHCSIA
Activity Manager.
PF Ref Performance Indicator
Intermediate outcomes / impacts
Observations
As a result of the service I received…
Responses:
disagree / agree / don’t know
1.1
% clients with improved
family functioning including
child wellbeing
1.2
% children with improved
development
1.3
% clients that live in safer
family and community
environments
1.4
% clients who are included in
and socially connected to
their community
Immediate outcomes / impacts
2.1
% clients with improved
knowledge and skills
2.2
% clients satisfied with the
service they received
% clients reporting that the
service was responsive /
respectful of their needs and
/ or cultural background
% clients with improved
access / engagement with
services
% clients with improved
family, community and
economic engagement
2.3
2.4
The client is better able to manage family issues of
concern to them
The child has demonstrated improvement in
development
The client’s safety in family and community
environments has improved
The client is more included and socially connected to
their community
As a result of the service received…
Responses:
disagree / agree / don’t know
The client demonstrated that they are able to apply new
knowledge or skills in parenting their child
The client has demonstrated that they are able to apply
new knowledge or skills in seeking help with their child’s
development
The client shows that they are happy with the service
they received
The client demonstrated that they know how to find and
go to services when needed
The client has shown an interest in becoming a
volunteer or continuing to volunteer or seek / gained
employment
The client has shown that their relationships with their
family, friends and / or community members have
improved after receiving the service.
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Attachment B: Sample surveys and data collection methods
SAMPLE 1 – Immediate Outcomes Data Collection
Client Survey or Interview
Your feedback is valuable to us. By providing your view on the service you
have received, you will help us improve the services we provide.
No special knowledge is needed to answer these questions and there are no
right or wrong answers. We are interested in your opinion. You can choose
not to answer particular questions if you wish.
Your answers will be kept confidential and you will not be identified in any of
the results.
How has your situation changed since you started using the service?
For each of the following statements, please mark if you agree or disagree.
As a result of the help I received……..
Disagree
Agree
Don’t know
... I am more confident in parenting my child.
... I am satisfied with the service I received.
... I can find services when I need them.
… I have more contact with family, friends and / or
community members.
Any comments or suggestions?
Thank you for your time. We value your feedback.
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SAMPLE 2 – Intermediate Outcomes Data Collection
Client Survey or Interview
Hello, my name is <name of person following up> from <name of service
provider>. A few months ago you participated in <name and / or range of
services>. We are currently following up some of our past clients to see
whether our services make a lasting difference to families. Would you mind
answering a few brief questions over the phone? It will only take a few
minutes.
Taking part in the interview is voluntary. If you do take part, any answers you
give will be treated confidentially. The feedback you give will be analysed
together with other people’s feedback to give an overall picture.
How has your situation changed since you started using the service?
For each of the following statements, please mark if you agree or disagree.
As a result of the help I received……..
Disagree
Agree
Don’t know
… I interact more positively with my child.
… I am able to get support when I need it.
Any comments or suggestions?
Thank you for your time. We value your feedback.
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SAMPLE 3 – Immediate Outcomes data collection
Client Focus Group
Thank you for taking the time to participate in this focus group. My name is [insert name] and I am
from [insert agency].
The purpose of this feedback is to collect your thoughts and feedback about the [insert service] which
you have been involved in. We want to know how you feel the service may have helped you. We run
these focus groups so that we can continue to improve our service as well as collect data to help us
report back to our funder.
Please be assured that your responses will be kept confidential and you will not be identified in any of
the results.
I need your consent to participate in this focus group. You are under no obligation to participate and
you are not required to answer any questions you do not wish to. If you decide to leave the group
part-way through, we will respect your decision. Could I please ask you indicate your consent to
participate by raising your hand?
As I mentioned before, my name is [insert name]. Does everyone here know each other? If not, we
may like to spend some time before we begin, by introducing ourselves to the group. (Group
members may introduce themselves.)
Please note that we have a set of guidelines to help the focus group run as successfully as possible.
These are:
- Do not discuss the details of the discussion once the group is finished.
- Respect others’ privacy and do not repeat their comments once outside the group.
- Speak one at a time so everyone is respected and the note taker can capture the data.
- Participants should feel that they able to express opinions freely and without criticism.
How has your situation changed since you started using the service?
For each of the following statements, insert number of observations in each category.
As a result of the help I received……..
Disagree
Agree
Don’t know
... I know more about how to support my child to
develop
... I can find and go to services to help me with
family issues when I need to
... I have received adequate information (including
referrals to other relevant services) to meet my
needs
… I participate in activities in my community more
often
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Any comments or suggestions?
Are there any other comments that you would like to make about the service or how it has helped
you?
Thank you again for taking the time to participate in this focus group.
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SAMPLE 4 – Intermediate Outcomes data collection
Client Focus Group
Thank you for taking the time to participate in this focus group. My name is [insert name] and I am
from [insert agency].
The purpose of this feedback is to collect your thoughts and feedback about the [insert service] which
you have been involved in. We want to know how you feel the service may have helped you in the
long term. We run these focus groups so that we can continue to improve our service as well as
collect data to help us report back to our funder.
Please be assured that your responses will be kept confidential and you will not be identified in any of
the results.
I need your consent to participate in this focus group. You are under no obligation to participate and
you are not required to answer any questions you do not wish to. If you decide to leave the group
part-way through, we will respect your decision. Could I please ask you indicate your consent to
participate by raising your hand?
As I mentioned before, my name is [insert name]. Does everyone here know each other? If not, we
may like to spend some time before we begin, by introducing ourselves to the group. (Group
members may introduce themselves.)
Please note that we have a set of guidelines to help the focus group run as successfully as possible.
These are:
- Do not discuss the details of the discussion once the group is finished.
- Respect others’ privacy and do not repeat their comments once outside the group.
- Speak one at a time so everyone is respected and the note taker can capture the data.
- Participants should feel that they able to express opinions freely and without criticism.
How has your situation changed since you started using the service?
For each of the following statements, insert number of responses in each category.
As a result of the help I received……..
Disagree
Agree
Don’t know
... relationships and communication in my
family have improved
... I feel safer in my community
Any comments or suggestions?
Thank you again for taking the time to participate in this focus group.
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SAMPLE 5: Integrated / Coordinated Service Delivery data collection
Partner agency nomination
We would like you to nominate up to three external organisations that you most commonly work with.
You may also identify up to three internal partner agencies that are different parts of your organisation.
If so, please list these on a separate nomination form.
Please complete all the questions for each nomination.
Organisation 1
Name of organisation
Is this an external organisation
Internal / External
(please circle one)
Type of organisation
(for example, . non-government, school)
Contact name
(this person will receive the survey by email)
Contact email
Contact phone
Briefly describe for what purposes
your organisation interacts with the
nominated partner agency (for example
type of relationship, frequency of contact, level
of involvement)
Organisation 2
Name of organisation
Is this an external organisation
Internal / External
(please circle one)
Type of organisation
(for example, . non-government, school)
Contact name
(this person will receive the survey by email)
Contact email
Contact phone
Briefly describe for what purposes
your organisation interacts with the
nominated partner agency (for example
type of relationship, frequency of contact, level
of involvement)
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Partner agency nomination
Organisation 3
Name of organisation
Is this an external organisation
Internal / External
(please circle one)
Type of organisation
(for example, . non-government, school)
Contact name
(this person will receive the survey by email)
Contact email
Contact phone
Briefly describe for what purposes
your organisation interacts with the
nominated partner agency (for example
type of relationship, frequency of contact, level
of involvement)
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SAMPLE 6: Integrated / Coordinated Service Delivery data collection
Partner agency survey (2012)
Online survey: Working with services funded by the Australian Government Family
Support Program
You are making a decision whether or not to participate in this online survey. Please read the
invitation email carefully. If you continue with this online survey, we will assume that you
have read the information provided in the invitation email and have decided to participate.
From July 2011 the Australian Government’s Family Support Program (FSP) was reformed
to increase support to vulnerable children and families, and promote collaboration amongst
service provider organisations.
For the purposes of this survey, collaboration is defined simply as organisations and
agencies working together to meet the needs of the community, children and families. For
more information on collaboration and the FSP, please visit the FSP Collaborative Service
Delivery webpage on
http://www.fahcsia.gov.au/sa/families/progserv/familysupport/Pages/collaborative_service_de
livery.aspx.
[Insert organisational name] nominated you as a Partner Organisation. Please
consider your collaboration with this organisation when answering the following
questions.
ABOUT YOUR ORGANISATION
1. Which of the following best describes your role in your organisation?
CEO, Director or General Manager
Senior or area manager
Service co-ordinator or service manager
Frontline worker
Other (please specify) ___________________________________
2. Which of the following best describes your organisation?
Not-for-profit organisation
Private sector ‘for profit’ organisation
Government agency or statutory authority
Other (please specify) _____________________________________
3. Does your organisation operate from more than one location in Australia?
Yes
No
4. Does your organisation currently receive any funding from FSP?
Yes
No
Not sure
5. Approximately how many paid staff are employed in your whole organisation? (Please
include all full time and part time staff but not casual or contract staff).
0
1-5
6-20
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21-50
51-100
101-200
200 plus
6. Please indicate the main sector(s) in which you provide services (you may choose up to
FIVE main sectors).
Indigenous families
Culturally and linguistically diverse families
Health
Mental health
Family relationships and counselling
Family law
Law enforcement and / or justice system
Drug & alcohol
Aged care
Children with disability
Adults with disability
Community programs (including parenting programs and playgroups)
Young parents
Cultural or religious organisations
Employment / training
Education – school/preschool
Education – secondary
Early childhood services (eg. 0-5 years)
Childhood services (eg. 6-12 years)
Youth services (eg. 13-18 years)
Welfare
Child protection
Foster, grandparent or kinship carers
Emergency relief and / or money management
Post-trauma and / or disaster services
Housing
Other (please specify)__________________
ABOUT YOUR WORK WITH THE FSP FUNDED ORGANISATION
7. What type of relationship does your organisation have with [insert organisation name]?
(tick all that apply)
Formal partnership (eg. memorandum of understanding, contract, consortium)
Informal partnership
Refer clients to and / or from
Joint case management
Have little or no relationship
Other (please specify) ______________________________________
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8. How often does your organisation have contact with [insert organisation name]?
Frequently –more than twice per month
Occasionally – once or twice per month
Infrequently – less than once per month
Never
9. How important is it for your organisation that [insert organisation name] collaborates with
your organisation?
Very important
Somewhat important
Not very important
Not at all important
The Australian Government provides funding for FSP services in a number of specific areas.
We would like to find out the service areas in which you collaborate with [insert organisation
name] and how satisfied you are with their efforts to collaborate.
10. For each of the following service areas please indicate your level of involvement with
[insert organisation name] and your satisfaction with their efforts to collaborate.
Service area/s
Please indicate your level of involvement How satisfied is
with [insert organisation name] in this
your organisation
service area
with [insert
organisation
name] efforts to
collaborate
Family Law Services
(e.g. Family Relationship
Centres; Post Separation
Co-operative Parenting
services; Supporting
Children after Separation
Program; Parenting
Orders Program;
Children’s Contact
Services; and Family
Dispute Resolution)
Communities for
Children Services (e.g.
parenting support; group
peer support for children,
families or carers; case
management; home
visiting services; and other
supports to prevent child
abuse and neglect to
families with children up to
age 12)
Not Applicable
(automatically
move to next
service area)
□ Low or none
□ Medium
□ High
□ Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
□ Low or none
□ Medium
□ High
□Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
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Communities for
Children – Indigenous
Parenting Services (e.g.
support transitions to child
care, pre-school and
primary school; and assist
Indigenous parents
address social, cultural,
personal, historical,
financial and health
factors)
Family and Relationship
Services (e.g. assistance
with adult relationships;
counselling for children;
and education and
parenting support within
disadvantaged
communities)
Community Playgroups
(informal gatherings for
parents and caregivers
with children under school
age that provide an ideal
place for children to learn
and develop through play)
□ Low or none
□ Medium
□ High
□Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
□ Low or none
□ Medium
□ High
□Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
□ Low or none
□ Medium
□ High
□Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
Specialist Services (e.g.
Specialised Family
Violence Services; Kids in
Focus – Family Drug
Support; and Family
Relationship Services for
Humanitarian Entrants)
□ Low or none
□ Medium
□ High
□Very dissatisfied
□ Somewhat
dissatisfied
□ Somewhat
satisfied
□ Very satisfied
□ Not applicable
ABOUT YOUR COLLABORATION WITH THE FSP FUNDED ORGANISATION
11. We now list several activities commonly involved in collaboration between services. For
each activity, please indicate your level of involvement with [insert organisation name]
and your satisfaction with their efforts to collaborate. If the listed area is an area where
your organisation is not wishing to collaborate with [insert organisation name], please
select ‘not applicable’.
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Area of collaboration
Level of involvement
with the FSP-funded
organisation
Satisfaction with [insert
organisation name]’s efforts to
collaborate
Shared information (for example
exchanging information about
projects or funding sources, joint
promotional campaigns, sharing
client information)
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Joint planning (for example
coordinating planning cycles or
sharing membership of
organisational structure)
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Referring clients to the FSPfunded organisation
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Receiving referrals from the
FSP-funded organisation
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Joint service delivery
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Joint case management
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Sharing costs for services
provided to shared clients
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
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Joint quality monitoring of
services
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Interagency meetings
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Co-location (sharing the same
premises or infrastructure)
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
Professional development
(common staff training or joint
recruitment)
□ Low or none
□ Medium
□ High
□ Not applicable
□Very dissatisfied
□ Somewhat dissatisfied
□ Somewhat satisfied
□ Very satisfied
□ Not applicable
12. The following question asks about processes for collaboration between your organisation
and [insert organisation name]. For each statement, please select the answer that most
closely matches your opinion. If a statement refers to something that you have no
experience with or is not relevant, select the ‘Not applicable’ option.
The FSP-funded
organisation and its
staff....
Not
applicable
Completely
disagree
Rating
Somewhat
disagree
Somewhat
agree
Completely
agree
...maintain
adequate contact
with our agency
...respond to
requests
...are cooperative
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...are
knowledgeable
about our services
...contribute to our
organisation’s
objectives
…undertake the
role the community
needs them to
13. Overall, how satisfied are you with [insert organisation name]’s contribution to integrated
service delivery / service coordination?
Very dissatisfied
Somewhat dissatisfied
Somewhat satisfied
Very satisfied
14. Is there anything else you would like to say about the issues covered in this survey?
Survey End - thank you for completing the survey.
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SAMPLE 7: Data collation
Immediate
Outcomes
Performance
Indicator
ACTIVITY NAME
Questions used
Total
number
of
clients
asked
Number of
client
responses
for these
questions
%
Disagree
Agree
Don't
know
For example:
I know what my
child should know
at this age
20
15
0.75
2
13
0
% Clients with
improved family
knowledge and skills
Parenting
arrangements are
workable
% Clients with
improved family
knowledge and
skills
% Clients satisfied
with the service they
received
% Clients with
improved access /
engagement with
services
% Clients with
improved family,
community and
economic
engagement
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Attachment C: Family Support Program Ethical Framework for the
Collection of Performance Information
1.
The Ethics Framework
The Ethics Framework is informed by a broad risk assessment of issues likely to
arise for FSP service providers when following up clients, and by known ethical
dilemmas in the broad human research field.
1.1
Relationship to other guidelines, standards and principles
These ethics guidelines provide principles and specific guidance for the different FSP
service types, clients and data collections. It draws advice from the following sources:
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National Health and Medical Research (NHMRC) (2007). National Statement
of Ethical Conduct in Human Research. This document covers ethics in
human research in Australia. It clarifies the responsibilities for institutions and
researchers for the ethical design, conduct and dissemination of results of
human research in Australia.
NHMRC (2003). Values and Ethics: Guidelines for Ethical Conduct in
Aboriginal and Torres Strait Islander Health Research.
NHMRC (2006). Challenging ethical issues in contemporary research on
human beings.
NHMRC (2007). Australian Code for the Responsible Conduct of Research.
Law Library Congress (2007). Children’s rights: International and National
Laws and Practice.
Medical Research Council (2004). MRC Ethics Guide. Medical research
involving children.
Australasian Evaluation Society, (2002). Guidelines for the Ethical Conduct of
Evaluations;
British Association for Counselling and Psychotherapy (2004). Ethical
guidelines for researching counselling and psychotherapy;
National Children’s Bureau, UK (2011). Guidelines for research with young
people;
NSW Department of Community Services (2008). NSW Department of
Community Services Research Ethics Guidance;
NSW Law Reform Commission (2008). Young people and consent to health
care.
The National Academies (USA) (2004). The ethical conduct of clinical
research involving children.
Children’s Bioethics Centre, Murdoch Children’s Research Institute, Spriggs M
(2010). Understanding consent in research involving children: the ethical
issues.
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1.2
United Nations (1989). Convention on the Rights of the Child.
Western Australian Child Adolescent Service (revised 2009). Working with
Youth. A legal resource for community based health workers.
Assessing ethical issues and risks
All ethics principles apply to both adult and child clients. This updated version of the
FSP Ethics Framework highlights additional issues that providers should consider
when assessing the ethical risks associated with collecting intermediate outcomes
data from child clients.
These additional issues for child clients include4:
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the capacity of the child or young person to understand what the data
collection process entails;
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the capacity of the child or young person to give meaningful feedback. This
risk can be managed by using age appropriate data collection methods and
processes;
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protection and safety versus participation. Children are more susceptible to
being affected by participating in research than adults—for example, feeling
anxiety, fear of disapproval or failure—and their susceptibility will differ for
individual children or young people. Yet children have the right to participate
and have their view heard when this can be done without risks;
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possible coercion of children by parents, peers, service provider staff
members or others to participate in data collection processes;
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the effect of a child’s stage of development on their ability to consent and
understand and participate in data collection activities. For example, children
at different developmental stages are likely to have different levels of
understanding about how the research relates to their family;
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the effect of disadvantage on children’s response to research; and
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conflicting values and interests of parents / guardians and children.
Individual service providers should always do a thorough risk assessment of the
potential for any harm to participants prior to collecting client follow-up data,
particularly intermediate outcomes. For each significant risk:
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gauge its probability and severity;
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assess the extent to which the risk can be minimised;
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determine if the research can be justified by potential benefits; and
4
National Health and Medical Research National Statement of Ethical Conduct in Human Research (2007); and DoCS
research ethics guidance (2008).
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1.3
determine how the risks can be managed. If necessary, the service should
consult with relevant community groups such as Indigenous groups about
ethical issues before following up clients who have left their service.
Children’s right to participate
FaHCSIA’s Performance Framework is intended to ensure that the experiences of
clients can be used to improve services and ensure service quality. Possible benefits
of involving children or young people (child clients) in giving feedback are increasing
their skills, enhancing self-esteem and sense of connectedness with their community.
The benefit for the FSP is that services will better meet the needs of child clients.
The risks of involving children and young people in giving feedback on services
should be balanced with a child’s right to participate in matters that affect them and
the need for information from the child’s perspective about how to improve the quality
of services aimed at children. The NHMRC National Statement says that
“researchers must respect the developing capacity of children and young people to
be involved in decisions about participation in research”5. The NHMRC National
Statement on Ethical Conduct of Human Research and other authorities also point
out that children may be vulnerable to exploitation during research as a result of the
power balance in their relationships with the service and other adults. Providers must
take care that participation is truly voluntary and not coerced.
Australia is a signatory to the United Nations Convention on the Rights of the Child,
which means service providers should comply with Articles 3 and 12 of the
Convention (1989). Article 3 requires that in all actions concerning children, the best
interests of the child must be the primary consideration. Article 12 requires that
children who are capable of forming their own views should be granted the right to
express their views freely in all matters affecting them, commensurate with their age
and maturity.
The rights and protection of children are governed by both Federal and State and
Territory law. Persons below the age of 18 years are generally considered children.
Under common law, a person under 18 has the legal capacity to consent to receive a
service, provided the child or young person has sufficient intelligence and maturity to
understand the nature of the service and any consequences in participating.
FaHCSIA expects that parental permission should routinely be sought before a
person under 18 years of age accesses an FSP service, however this may not be
appropriate in all circumstances.
In some jurisdictions, children may be able to give consent for health services where
they are either over a statutory age (14 years to 16 years depending on the
jurisdiction) or of sufficient maturity to be able to comprehend the procedure and give
5
National Health and Medical Research National Statement of Ethical Conduct in Human Research, 2007, chapter 4.2
Children and Young People, page 55.
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informed consent.6 FaHCSIA recommends that service providers develop and
implement policies to address service provision to children and young people under
the age of 18 years.
However, there is uncertainty about the legal position of involving young people in
research, and case law on children’s competence is complex.7 In Australia, the
NHMRC National Statement is the authority on issues on consent and participation in
research by children.
2.
Ethical principles for Family Support Program Services
This section provides advice for Family Support Program providers about the ethical
collection of client outcomes data.
Service providers should always do a thorough risk assessment of the potential for
any harm to clients, prior to collecting client outcomes data. For each significant risk
the service provider should:
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gauge its probability and severity;
assess the extent to which the risk can be minimised;
determine if the research can be justified by potential benefits; and
determine how the risks can be managed.
If necessary, the service should consult with relevant community groups, such as
Indigenous groups, about ethical issues before following up clients who have left their
service. Information must be stored as required by the Privacy Act 1998.
The following section details the general ethics principles and how they apply to the
Family Support Program.
Principle 1—Research merit and integrity
Outcomes data should be collected using appropriate and sound methodology and
researchers should be competent. If research does not have merit or integrity then it
is unethical because of the waste of time and resources. Data should be collected in
a way that means judgements / refinements to services are based on sound
information. Research should be justifiable by its potential benefit—improving
services.
The outcomes data are collected according to a methodology specified for the FSP
Performance Framework. The data play an important role in monitoring program
outcomes and in fulfilling public accountability requirements.
6
Law Library Congress Australia (2007). Children’s Rights: International and national laws and practice.
7
NSW Law Reform Commission (2008). Young people and consent to health care, section 1.48.
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1.1. Data should be collected by someone independent of the staff involved in
directly providing the FSP service to the client. This will reduce the possibility of
coercion and retain confidentiality. Indigenous Parenting Services ideally
should use Indigenous workers to conduct interviews with clients. If this is not
possible, then the researchers should have experience in working with
Indigenous people and / or appropriate cultural training.
1.2. Providers whose clients come from special needs groups (for example,
Indigenous, CALD backgrounds) may use alternative methods for collecting
data, for example, face-to-face interviews or through key community informants.
Providers will need to balance the amount of resources required to collect data
from people from diverse backgrounds against getting views from a cross
section of all program users. We suggest providers consult with relevant local
groups about the most appropriate method to obtain feedback from clients who
are part of special needs groups.
1.3. Service providers should have processes in place to respond promptly and fairly
to complaints about the research process.
1.4. The service should collect outcomes data that are meaningful and related to
substantive activities of the service.
1.5. Child clients have varying capacity to both understand what the data collection
process entails and to give meaningful feedback. Service providers should
manage this risk by using data collection methods and processes appropriate to
the developmental stage of the child or young person. Broadly speaking8,
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for most child clients of secondary school age, methods that would be used
with adults can be considered: for example, self-completion questionnaires,
one-to-one interviews and focus groups; and
for most child clients of primary school age, very formal or structured methods
are less appropriate. For example, self-completion questionnaires are not
generally appropriate for children under 12 years unless an appropriate level
of support is available.
1.6. There is no lower age limit at which a child client can participate in outcomes
data collection, as long as the appropriate methodology is used9. But to collect
meaningful data from younger children—who are able to understand some
relevant information and take part in limited discussion about their experiences
of services—service provider staff or independent researchers should be
suitably skilled, have allowed sufficient time to engage the child, and have
access to dedicated resources. If these conditions are not met, it may be
preferable to collect outcomes data from adults as a proxy for very young
children, or not collect outcomes data at all.
8
UK National Children’s Bureau Research Centre (2011). Guidelines for research with children and young people, page 17.
9
UK National Children’s Bureau Research Centre (2011). Guidelines for research with children and young people, page 17 and
ARACY Think Tank (2008). Involving children and young people in research.
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1.7. When collecting outcomes data from child clients, service providers should:
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keep data collection processes brief and easy;
aim to create an open and informal atmosphere;
stress that there are no right or wrong answers;
use short questions and simple language, avoiding abstract concepts;
keep checking what the respondent means;
ensure tools (length, format, content and language) are accessible given the
developmental stage of the child and cognition. It may be necessary to have
different versions for different ability groups; and
pilot data collection tools.
1.8. Providers should make explicit in their policies and procedures how they will
judge the child’s capacity to consent to participate and how they will inform the
child client about the data collection process.
Principle 2—Trustworthiness
A distinct ethical dimension of counselling and psychotherapy is the trust placed by
clients in practitioners and the sense of personal vulnerability that may be involved in
the process. Identifying and responding to risks associated with outcomes research
are basic ethical responsibilities for services. Where the service conducting the
research is also the provider of services, the service should take steps to adequately
protect clients’ interests and vulnerability in the way feedback is sought, the way
responses are written up and how the findings are applied to improving services.
Researchers should seek to maintain the highest possible levels of trustworthiness
and integrity between themselves and those being asked for feedback.
2.1 The protection of personally sensitive information is an important ethical concern
for all clients, but particularly for vulnerable clients or clients who have been in a
counselling relationship. Honouring promises about confidentiality carries
special ethical weight because it is central to maintaining trust. The standards
and procedures to protect privacy should be as consistent as possible with those
relevant to service provision and professional codes of conduct. The service
should have a policy on the retention and storage of research data that covers:
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how to store responses securely;
anonymity of responses;
the duration of storage10; and
10
The Australian Code for the Responsible Conduct of Research (NHMRC, 2007) page 23, recommends that institutions store
primary research data for a minimum of five years but qualify this by saying it depends on the type of data and also that
researchers should retain primary materials for sufficient time to allow reference to these by other interested parties.
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secure ways to dispose of data and access to databases and archives that are
consistent with confidentiality requirements, legislation and privacy rules.
2.2 Where services are provided in partnership with other agencies, for example
where a lead agency is directly responsible to FaHCSIA and other local
agencies are contracted to provide early intervention, then lead agencies should
consider what research information should be shared with contracted providers.
Lead agencies should develop a policy on the ownership of the data and the
form that it can be shared with delivery agencies, which clearly defines what is
appropriate to report. Given the data is intended to help providers improve
services, it is important that information about the delivery of specific programs
be shared, but this should be balanced with maintaining confidentiality for small
delivery agencies. A reasonable balance may be to report across all contracted
services and not by each provider.
2.3 In small communities (including Indigenous communities), staff and clients may
have “dual relationships”, where staff and clients commonly meet in situations
outside the service, a client may feel that feedback is not sufficiently confidential
and that there is a risk that personal information will be made known to others. If
deemed necessary, service providers should contract telephone interviews to a
service based in other locations. Service providers facing the same dilemma
could work together to conduct the interviews on each other’s behalf.
Alternatively, if the service is part of a larger group with sites in other locations
the data could be collected by staff from another site.
2.4 When a service provider collates and reports its own data, a conflict with the
ethical obligation to protect confidentiality may arise if the intended audience of
the report includes staff within the service. Information collected through openended questions may put staff in a position to deduce the identity of individual
clients. In such situations, care should be taken to protect people’s identity by,
for example, conflation of several experiences into one representative account,
or by explicitly producing a fictional account that conveys the salient aspects of
research findings.
2.5 Where a parent has consented on behalf of a child, the parent should not have
access to what the child has said because a child may be psychologically or
even physically harmed if confidentiality is breached. Children’s trust in the
service provider may be undermined if their responses are not kept confidential
and they may choose not to receive other services in the future. When a parent
refuses to give consent unless given access to the child’s response, the child
should not participate.
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2.6 There is a natural power imbalance between those collecting outcomes data
(adults) and child clients, which could affect the quality of data collected. Steps
to minimise the impact are11:
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create a relaxed atmosphere prior to collecting data e.g. have an informal chat
before an interview or warm up activities at the start of a focus group;
ensure data collection activities are not seen as tests and that all responses
are equally acceptable, valid and welcome; and
dress informally and avoid formal room layouts.
Principle 3—Respect for the rights, privacy, dignity and entitlements of your
clients or program clients
Each person must be recognised as having inherent value and everyone has a
fundamental right to privacy. Each person has the right to autonomy—to determine
his or her own path in life. It follows that a person (including children) must be given
the opportunity to decide whether they are involved in research, and that consent
must be free, informed and given prior to the research. Before including a child or
young person, service providers must establish that there is no reason to believe
such participation is contrary to the child’s or young person’s best interest. This
principle incorporates respect for a person (including child clients) to make their own
choices, but also includes an obligation to protect those not sufficiently autonomous
or mature to make their own choices.
The cultural and religious heritage of participants and their communities must be
respected and appropriate consultation occurs.
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Free consent is not forced, coerced or obtained by improper inducements.
Informed consent is based on an understanding of what is to be done, why and
what will happen with the results.
Consent must be obtained before the research is begun.
3.1 Consent for follow-up for the collection of intermediate outcomes should initially
be obtained at the time the client or parent / guardian commences service.
However, client consent should be seen as a process, where consent is
reviewed at key points, for example, when arranging and conducting interviews.
At this time, the interviewer should also ensure the client understands that
consent may be withdrawn at any time during the interview without
consequences. These steps are particularly important for child clients.
3.2 Providers should obtain the consent of one parent or guardian of child clients,
along with assent (or consent, if appropriate) of the child or young person to
11
UK National Children’s Bureau Research Centre (2011). Guidelines for research with children and young people, page 15.
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participate in outcomes data collection processes. Agreement from a child to
participate in outcomes data collection processes should be obtained at a
separate time to consent to participate in service and checked regularly.
3.3 Providers must make a judgement whether or not a child or young person has
the capacity to assent or consent. The NHMRC National Statement and other
authorities do not specify a specific age where a child can be classified as
having the capacity to assent or consent to participate in research. When
working with family breakdown situations, it may be necessary to get the
consent of both parents except where:
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one of the parents is not involved in the child’s life; or
the Family Court has made a residence or specific issue order stipulating that
one parent has sole responsibility for the child’s day-to-day care, welfare and
development.12
3.4 Assessing a child or young person’s capacity to assent / consent is a judgement
call for service providers, as maturity and intelligence varies from child to child.
A child client’s capacity to participate and assent / consent also depends on the
kinds of approaches and methods you intend to use to collect information. The
National statement gives some guidance about different levels of maturity and
of the corresponding capacity to be involved in research:
a) infants, who are unable to take part in discussion about the research and its
effects;
b) young children, who are able to understand some relevant information and
take part in limited discussion about the research, but whose consent is not
required;
c) young people of developing maturity, who are able to understand the
relevant information but whose relative immaturity means that they remain
vulnerable. The consent of these young people is required, but is not
sufficient to authorise research. Consultations with FSP service providers
indicates that children between the age of eight to 12 years are likely to fit in
this category; and
d) young people who are mature enough to understand and consent, and are
not vulnerable through immaturity in ways that warrant additional consent
from a parent or guardian.
3.5 Special circumstances exist where parental or guardian consent may not be
appropriate or needed. In all cases, a young person must be mature enough to:
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understand and consent;
not be vulnerable through immaturity in ways that would warrant additional
consent from a parent or guardian; and
12
Western Australian Child and Adolescent Health Service. Working with Youth a legal resource for community workers, page
15.
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the research involves no more than low risk. 13
Circumstances where parental consent may not be needed14 include:
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when a young person is estranged or separated from his / her parents or
guardian, or living independently e.g. young people under 18 years who are
living in a de facto relationship or married;
young mothers under the age of 18 years; or
when it would be contrary to the best interests of the young person to seek
parental consent—for example, if parents are neglectful or abusive.15 In this
instance, another adult or agency with responsibility may be able to provide
consent.
3.6 When judging a child’s ability to willingly participate, service providers should
pay attention to the child’s vulnerability. Consideration should also be given to
whether the child is able to understand the nature of outcomes data collection
processes, the likely use of their feedback, and how it relates to them and their
family. Children suffering from anxiety are likely to be at greater risk from
participating in the data collection process and should be excluded from
participating.
3.7 It is sometimes appropriate for adults to provide feedback on behalf of a child
client. Getting feedback from adults on behalf of their children is often easier
from a practical and ethical viewpoint, however adults are often not reliable
informants about children. Parents or guardians may also have conflicting
values and interests—for example, where a family is in conflict or crisis.
Whether it is appropriate for adults to provide feedback on behalf of child clients
is closely linked to a young person’s capacity to assent or consent. The
Handbook for HREC and Researchers advice is that:
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parents can give information about their child without the child’s permission16
when the child is too young or does not have cognitive capacity to speak for
her or himself. This depends somewhat on the kind and complexity of the data
collection methods. The information is something a child would not have
knowledge about.
it is not appropriate when the parent thinks the child or young person would be
unwilling to participate.
13
National Health and Medical Research National Statement of Ethical Conduct in Human Research, 2007, section 4.2.8,
page 56.
14
Spriggs M (2010). Understanding consent in research involving children: the ethical issues. Children’s Bioethics Centre.
15
NSW DoCS (2008). Research ethics guidance, page 15.
16
Spriggs M (2010). Understanding consent in research involving children: the ethical issues. Children’s Bioethics Centre,
Murdoch Children’s Research Institute, page 6.
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3.8 For providers of Indigenous Parenting Support Services, the collection of
follow-up client data must respect the values, sensitivities and culture of
Indigenous clients. Indigenous Australians have experienced little direct
benefits in the past from participating in research and, as such, it is important to
inform the local community about the results of follow-up research and consult
about the best ways to give feedback, which may be written or verbally.
3.9 Researchers should identify themselves to potential informants and advise them
of the purpose of the research and identify the service commissioning /
conducting the research.
3.10 Some FSP clients are considered vulnerable because they are socially and
economically disadvantaged, or may be in conflict and experiencing emotional
distress, or in difficult situations such as domestic violence. These groups may
use FSP services because they are more accessible than other services. When
seeking consent, particular regard should be given to addressing potential
ethical issues for vulnerable people. These are:
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fear of being identified and reluctance to give written consent. In these cases,
verbal consent should be accepted;
fear of losing access to services because of negative feedback. This concern
should be addressed in information materials and / or when renewing consent;
offering incentives: it is generally not appropriate to offer incentives as a
recruitment method; and
poor literacy skills mean that the person is not able to read or comprehend
information on consent forms or formally indicate their consent using a
signature. Information about the research should be explained verbally,
covering all aspects of the research and verbal consent accepted. Consent
should be confirmed by the interviewer at the time of the follow-up interview.
3.11 Services should be mindful of circumstances in which a commitment to
confidentiality may conflict with other ethical considerations, particularly where
there is potential for serious harm to the person or child client or others. Where
a researcher may discover evidence of criminal activity or serious wrongdoing
they have ethical and legal obligations to reduce further harm and fulfil
obligations under the law or professional codes of conduct; however these
obligations may conflict with confidentiality agreements. For Family Support
Services, ethical issues are likely to be around how a service provider manages
any disclosure of malpractice, abuse or criminal behaviour. Examples include:
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cases where an interviewee reveals illegal activity, such as domestic or child
abuse, or other circumstances where a child is at risk of harm or breaching a
court order. If considered a possibility, the service should warn the person
about any legal limitations to confidentiality and specifically exclude
confidentiality in those matters. Research protocols should cover how to deal
with such disclosures, for example, explicitly reminding the person about the
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terms of their consent, if needed during the interview. In the case of child
clients, service providers must make explicit the circumstances under which
the paramount welfare of the child overrides confidentiality in their instructions
to independent researchers or staff. Where a child is being abused, the
information should be passed on to the relevant authorities rather than being
dealt with by the researcher or the service provider organisation, even when
the person is a practitioner;
confidentiality versus reporting of possible misconduct by a staff member of
the service provider, in a context where there are few independent qualified
persons to investigate, and where the staff member against whom the
complaint is being made is a colleague of the interviewer. In this situation the
interviewer should inform the person of his or her rights to report the matter to
appropriate authorities, and also details of how to do so (complaints
protocols). Adults have the right to choose whether or not to make a
complaint—it is not the role of the researcher to act on the person’s behalf.
For child clients, the researcher should pass on the complaint to the
responsible managers of the service.
Principle 4—Beneficence (doing good)
The service is responsible for ensuring the client does not come to harm due to
participating in the research. The design of the research should minimise risks of
harm to clients, clarify the benefits of the research and any risk of harm, and ensure
the welfare of clients in the data collection process. For the FSP clients, benefits will
be for other service users more generally, rather than the individual person or child or
young person providing feedback directly.
4.1 There is an ethical responsibility to ensure interviewees do not come to harm
because of the interview process. Follow-up interviews may trigger unwanted
emotions or stress, or a client may reveal the need for further assistance during
the follow-up interview. Services should assess whether this is a potential risk
for the specific group and individuals being followed-up, and consider providing
additional support or remedial services for clients in need.
4.2 Service providers need to balance their duty of care and the safety and
protection of the child against the benefits of participating for the child and
improving services for other children. Children are more susceptible to being
affected by participating in research than adults—for example, feeling anxiety,
fear of disapproval or failure—and susceptibility will differ for individual children
or young people. In addition, children at different developmental stages are
likely to have different understanding about how the research relates to their
family. Service providers need to assess the potential risks, and consider if
these might be addressed through appropriate processes or if feedback should
not be collected from child clients.
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4.3 Service providers should also consider the potential coercion of children by
parents, peers, service provider staff members or others to participate in data
collection processes, and the effect a child’s stage of development will have on
his or her ability to consent, understand and participate in data collection
activities.
4.4 The researcher doing the interviews has no specific responsibility to assist a
client (including a child client) who requires additional assistance. The service
conducting interviews should develop protocols around actions a researcher
should take during and after the interview if confronted by a client requiring
further assistance (see also 3.10). The service could also consider specific
training for researchers to manage such situations.
4.5 The circumstances in which outcomes data is collected from child clients should
provide for the child or young person’s safety, emotional and psychological
security and well-being.
4.6 When collecting outcomes data from a child client in person, it is prudent
practice for another adult to be present during interviews, preferably with the
same gender as the child being interviewed.17
Principle 5—Justice
The benefits and burdens of the research process should be distributed fairly and the
process of recruiting clients be fair.
Indigenous-specific services should reference the ‘NHMRC, Values and Ethics:
Guidelines for Ethical Conduct in Aboriginal and Torres Strait Islander Health
Research (2003)’ when applying this principle. 18
Vulnerable children (such as those in out of home care) have often had a high level
of scrutiny and been involved in assessments and interviews. Consideration must be
given to the balance of benefit and the burden placed on children or young people,
even when the research will have long term benefits for service quality.
5.1 Services should use fair and defensible processes to select or exclude clients,
taking into account the objectives of collecting outcomes data.
5.2 Potential effects of differences and inequalities in society related to race, age,
gender, sexual orientation, physical and intellectual disability, religion, socioeconomic or ethnic background, should be taken into account when considering
how follow-up information is collected.
17
NSW DoCS (2008). Research ethics guidance, page 17
18
NSW Office of the Children’s Guardian, Information about conducting research issues paper, page 7
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5.3 Indigenous Australians have experienced little direct benefits in the past from
participating in research and as such it will be important to share the results of
the research and / or any changes needed to service delivery with the
community in a manner approved by community elders or relevant community
groups.
5.4 Ensure all clients are treated respectfully and with adequate cultural sensitivity.
5.5 Child clients have the right to participate in matters that affect them, and it is
important to collect information about services from the child’s perspective so
the quality of services can be improved. Any risk from participation must be
minimised and the provider should consider whether inclusion is justified if the
child is from a vulnerable group. Providers should facilitate the participation of
child clients in outcomes data collection by gaining assent or fully informed
consent (where appropriate). Where a child client is not in receipt of direct
services, then he or she should not be included in outcomes data collection
processes.
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