5.10 Monitoring framework
Introduction
The principal purpose of the Monitoring Framework is to ensure a sustainable funded human services sector by strengthening the monitoring and accountability arrangements.
The Monitoring Framework provides an overarching set of policies, guidelines and tools used by Department of Human Services (DHS) and Department of Education and Early Childhood Development (DEECD) regional and central office staff. A collaborative approach is used to ensure sector sustainability and quality services to the community.
The framework applies risk management principles to monitor organisation service sustainability and quality, and assists the department in early identification of risks to ensure the ongoing provision of quality human services and avoid the consequences of service failure.
Components of the Monitoring Framework
The Monitoring Framework is made up of three components:
- ongoing Core Monitoring
- an annual Desktop Review
- possible Service Review where the Desktop Review indicates matters or issues requiring further attention.
Scope of the Monitoring Framework
Core Monitoring applies to all organisations receiving funding through DHS and DEECD service agreements.
The Desktop Review and Service Review components of the framework are mandatory for all organisations except hospitals, ambulance, local government and organisations receiving only kindergarten or occasional care funding.
Principles of the Monitoring Framework
The Monitoring Framework is based on the following principles:
- The monitoring process is facilitated through positive working relationships, honest and open communication, positive feedback and constructive criticism.
- Effective monitoring and review will occur in partnership with organisations and users of the service.
- The Monitoring Framework is designed to support organisations in the earlier identification of issues and appropriate intervention to address these.
- Monitoring and review is a process that provides organisations and the department with an opportunity to review expectations of one another and examine performance against these expectations.
- Effective monitoring and review includes respect for the independence and governance arrangements of organisations.
Core Monitoring
Core monitoring of service agreements is conducted by different DHS and DEECD staff and is undertaken on an ongoing basis through the collection of information and data. Core Monitoring includes:
- legal status
- financial accountability requirements and asset management
- performance reporting and delivery
- fire risk management
- incident reporting and management
- police checks
- complaints management.
The information derived from Core Monitoring is used:
- to evaluate and respond to individual issues immediately
- to contribute information for use in the Desktop Review.
Desktop Review
The Desktop Review is an internal tool used by DHS/DEECD staff with responsibility for service agreements. The Desktop Review is performed once a year to examine how a funded organisation is performing against key risk areas.
Funded organisations will be advised of the outcome of the Desktop Review when completed.
Service Review
A service review is a meeting between relevant staff from the department and the organisation to discuss issues identified in the Desktop Review or raised by the organisation.
The Service Review provides an opportunity for the department and the organisation to meet, jointly raise issues and concerns and develop solutions to these items.
The Service Review will:
- be undertaken within the principles of partnership
- be an opportunity to work together in a solution-focused manner
- work towards improving services for clients
- not be adversarial or punitive.
The Service Review comprises three areas of focus:
- service delivery
- organisational management and governance
- financial management.
A departmental staff member will convene the Service Review in consultation with the organisation. Initial contact with the organisation will usually be by telephone. Arrangements will be made for a mutually convenient date and place for the Service Review meeting, discussion points, agenda and participants. Departmental participants at the Service Review meeting will be selected based on the issues being discussed.
Arrangements made for the Service Review will be confirmed in writing. Following the Service Review meeting, an Action Plan may be developed. The Service Review participants will work together to develop and agree on any actions to be taken by the organisation or the department. Any agreed actions will be documented, followed up and reviewed.