Protecting clients

Protecting clients from fire risk is an important part of their care. The service agreement acknowledges that an organisation is responsible for complying with all laws relating to fire protection, health and general safety that apply to any premises from which the organisation operates, irrespective of whether the relevant regulatory requirements place the obligation on the owner or occupier of those premises.

An organisation entering into a service agreement must have in place an appropriate system to protect people under its care. For this reason, the department is keen to clarify its role and the role of the organisation in protecting the department's clients from fire risk.

Services provided in own home

For services provided to clients in their own home (whether rented or owned by the client), the department expects that the client (and where appropriate, the owner of the premises) will have responsibility for their own fire safety and ensure that the premises meet all relevant building bylaws, regulations or legislation, including retrospective obligations.

The department notes that the relevant authorities (for example, local councils) are responsible for enforcement of fire safety provisions.

Responsibility for a client's fire safety is not specifically part of the service funded but is implied through common law or other duty of care requirements.

Other services

For services other than in the client's home, the organisation is required to ensure that the people in its care are appropriately protected from fire risk. This includes premises, operational readiness and client placement.

Premises

The department expects that the premises meet the relevant building bylaws, regulations or legislation in force at the time of construction, including provisions that apply retrospectively (for example, requirement for smoke alarms). Any subsequent building works shall meet the relevant building approval provisions at the corresponding time.

Where this is not the case, or where the organisation determines that the premises do not provide an appropriate level of fire safety, the organisation is expected to ensure that the premises are brought up to standard.

The department notes that the relevant statutory authorities (for example, local councils) are responsible for the enforcement of fire safety provisions.

Operational readiness

The organisation must ensure that appropriate operational readiness measures are developed, implemented and reviewed. This includes (but is not limited to) fire emergency management and evacuation procedures, training of staff to implement the procedures developed, and maintenance of fire safety systems.

Client placement

Where the organisation selects the clients for bed based services, the organisation must determine whether the premises are suitable for the client to be evacuated safely, taking into account the fire systems installed and the capacity of the client to evacuate. Where changes occur that may affect the client's ongoing ability to evacuate safely, the suitability of the placement must be reassessed immediately and appropriate action taken as soon as possible.

Where the organisation does not select the clients, the organisation is still required to monitor any relevant changes that may affect the client's ongoing ability to evacuate safely, assess the suitability of the placement, and take appropriate action as soon as possible.

Table 2 Fire safety - additional requirements

To check which standard applies, refer to Figure 4.

If you have any questions about the application of fire safety standards in the premises from which services are delivered to clients, contact your DHS Program and Service Advisor (PASA).

Compliance certification process

The CEO (or equivalent) of an organisation that provides bed based services (under standards 3, 4 and 5, see table 2) is required to complete and provide the department with the relevant fire safety certificates as part of the service agreement process. Even though the service agreement is for a three year period, the certificates must be completed annually. This ensures that the organisation provides certification to the department that they have checked all relevant services and that they meet, and will continue to meet, the department's fire safety requirements. The CEO must have appropriate procedures in place to ensure ongoing maintenance and reporting.

The annual certificates to be used are included on the forms and certificates page of this site.

Certificates covering each financial year must be received by 30 September in the following financial year or at a date agreed with the PASA.

Fire incident and false alarm reports - incident reports

Organisations are required to provide fire incident and false alarm reports to the Department of Human Services following the department's incident reporting instruction and reporting process. Refer to Section 5.3 of this document (link to Incident reporting departmental instruction 2008 on the Funded Agency Channel site). Fire incident and false alarm reports should be lodged using the Incident Report form as soon as possible after the incident.

Definitions

• Bed based service - A service contracted to provide overnight accommodation for clients.
• Lead tenant - A service which provides semi-independent accommodation in a household for people who are in transition to independent living using a live-in volunteer to facilitate a supportive environment.
• Private home - A home owned by the occupant(s), or a home formally or informally leased by the occupant(s).
• Statutory client - Children for whom the department has custody or guardianship; and persons with a disability receiving services pursuant to the Disability Act 2006.
• 24 hour support or supervision - Staff support or supervision is provided whenever clients are in residence and includes active night rosters, sleepover rosters and 24 hour worker model.

Figure 4 Determining appropriate fire safety standards

Fire safety standards

Lead tenant / Home based care services fire safety standard (Standard No. 1)

Type of service:
Services provided from carer's own home (whether owned or rented by the carer) or Lead tenant.

The organisation is required to make certain that persons under its care are appropriately protected from the risk of fire. This protection includes:

• obtaining an assurance from the building owner that smoke alarms have been installed in accordance with the requirements of the Building Regulations
• implementing strategies in response to clients with known or suspected fire lighting tendencies. This includes:
  • seeking assessment for the person, to determine the severity of the behaviour and the likely risks
  • identifying strategies for managing and modifying the behaviour and addressing related causal issues, as part of the Case Plan and Individual Plan
  • actively implementing these strategies
  • referral to appropriate services to modify fire lighting behaviour to a safe level, and
  • ensuring an adequate level of fire safety management in the household.

Where the organisation selects the clients, the organisation must determine whether the premises are suitable for the client to be evacuated safely, taking into account any fire safety systems installed, and the evacuation capacities of the client. Where changes may affect the client's ongoing ability to evacuate safely, the suitability of the placement must be reassessed, and appropriate action taken.

Where the organisation does not select the clients, the organisation must still monitor any relevant changes that may affect the client's ongoing ability to evacuate safely, assess the suitability of the placement, and take appropriate action.

Support Service only Fire Safety Standard (Standard No. 2)

Type of service:
Services provided to clients in their own home (whether rented or owned by the client).

The department expects that the client (and where appropriate the owner of the premises) is responsible for their own fire safety and ensuring that the premises meet all relevant building bylaws, regulations or legislation, including those that apply retrospectively.

The department notes that the relevant statutory authorities (for example, local councils) are charged with enforcing fire safety provisions.

The responsibility for a client's fire safety is not specifically part of the service purchased from the organisation, but is implied through common law (or other duty of care) requirements.

Relevant Authorities Fire Safety Standard (Standard No. 3)

Type of service:
Bed based with 24 hours rostered/live in staff support/supervision

Premises*: Not State government owned, nor private home, where the department's Fire Risk Management Standard has not been specified or the service is not intended specifically to house statutory clients.

Other: Where the department's Fire Risk Management Standard has not been specified (service is not intended specifically to house statutory clients)

Type of service:
Bed based without 24 hours rostered/live-in staff support/supervision.

Premises*: Not private home

May include some disability, placement and support, mental health, drug and alcohol, Supported Accommodation Assistance Program (SAAP) and aged care centre based overnight respite residential services.

The organisation is required to make certain that the persons in its care are appropriately protected from risk from fire. This protection includes:

• Premises - The department expects that the premises meet all relevant building bylaws, regulations or legislation, including provisions that apply retrospectively (for example, requirement for smoke alarms). It is expected that the premises were constructed to meet the requirements of relevant building by-aws, regulations or legislation in force at the time of construction and that building works have been undertaken in accordance with relevant building approval provisions since that time.

  Where this is not the case, or where the organisation otherwise determines that the premises do not meet a standard which provides an appropriate level of fire safety, the organisation is expected to ensure that the premises are brought up to provide an appropriate level of fire safety protection.

  The department notes that the relevant statutory authorities (for example, local councils) are responsible for the enforcement of fire safety provisions.
  
  * in each case a reference to premises refers to those premises from which the service (which is subject to this service agreement) is provided.

• Operational readiness - The organisation must ensure that appropriate operational readiness measures are developed, implemented and reviewed. This includes (but is not limited to) development of fire emergency management and evacuation procedures, training of staff to implement the procedures developed, and maintenance of fire safety systems.
   
• Maintenance of essential safety measures - The organisation shall ensure that all essential safety measures (including all fire safety equipment/systems) are being adequately maintained, in accordance with the Building Regulations.

Completion of the weekly checklist for Disability Services and Placement and Support will assist in providing documentation to support completion of the annual Essential Safety Measures Report, which can be accessed on the DHS Internet at http://www.dhs.vic.gov.au/pubs.htm.

• Client placement - Where the organisation selects the clients, the organisation must determine whether the premises are suitable for the client to be evacuated safely, taking into account any fire safety systems installed and the evacuation capacities of the client. Where any relevant change may affect the client's ongoing ability to evacuate safely, the suitability of the placement must be immediately reassessed and appropriate action taken as soon as possible.

  Where the organisation does not select the clients, the organisation must still monitor any relevant changes that may affect the client's ongoing ability to evacuate safely, assess the suitability of the placement, and take appropriate action as soon as possible.

• Fire Safety Certification - Fire Safety - Certificate No. 3 (word - 76.0 kb) (download help) must be returned by 30 September in the following financial year or by a date to be agreed between the organisation and the department's PASA. This date will take into account any relevant upgrading works that are scheduled.

The department's fire risk management standard (Standard No. 4)

Type of service:
Bed based with rostered/live-in staff support/supervision. May include disability (including respite), placement and support, secure welfare, juvenile justice, mental health, drug and alcohol, and SAAP residential services.

Premises*:
Owned or leased by the State Government (the Crown, the Secretary of the Department or the Director of Housing), but not rental general stock.

Capital Development Guidelines, Series 7, Fire Risk Management (the relevant guidelines applicable for specific occupancy types for which the organisation has responsibility). The guidelines can be accessed on the department's Internet site (Publications section under the heading of Financial and Corporate Services Division, Capital Management Branch, 'Fire Risk Management Guidelines').

The organisation is required to make certain that persons in its care are appropriately protected from risk from fire. This protection includes:

• Premises - The department will fulfill its responsibilities as owner of the premises by upgrading the premises to meet the requirements of the Capital Development Guidelines, Series 7, Fire Risk Management (as amended from time to time) applicable to the premises*.

  The organisation must ensure that any non-compliance with these guidelines that it becomes aware of is reported to the building owner (the appropriate representative of the Crown, the Secretary or the Director of Housing, as relevant) so that remedial action may be taken.
  
  * In each case a reference to premises refers to those premises from which the service (which is subject to this service agreement) is provided.

• Operational readiness - The organisation must ensure that appropriate operational readiness measures are developed, implemented and reviewed as a minimum in accordance with Australian Standards: AS 4083-1997, Planning for emergencies - Health care facilities and AS 3745-2002, Emergency Control Organisation and Procedures for Buildings as appropriate. This includes (but is not limited to) development of fire emergency management and evacuation procedures, training of staff to implement the procedures developed, and conducting regular evacuation drills.

For organisations providing disability and/or placement and support residential services, operational readiness measures shall be in accordance with the department's Fire and Emergency Response Procedures and Training Framework (as amended from time to time). The framework can be accessed on the department's website (Publications section under the heading of Financial and Corporate Services Division, Capital Management Branch, 'Fire and Emergency Response Procedures and Training Framework').

• Maintenance of essential safety measures -The department will fulfil its responsibilities as owner of the premises by maintaining fire safety systems. The organisation must ensure that any factor that may affect the performance or operation of fire safety equipment, fire safety fittings, fire safety measures, exits and essential services that it becomes aware of is reported to the building owner. Completing the weekly check list will assist in providing documentation to substantiate adequate maintenance of essential safety measures.

• Client placement - Where the organisation selects the clients, the organisation must determine whether the premises are suitable for the client to be evacuated safely, taking into account any fire safety systems installed and the evacuation capacities of the client. Where any relevant change may affect the client's ongoing ability to evacuate safely, the suitability of the placement must be reassessed immediately and appropriate action taken as soon as possible.

Where the organisation does not select the clients, the organisation must still monitor any relevant changes that may affect the client's ongoing ability to evacuate safely, assess the suitability of the placement, and take appropriate action as soon as possible.

• Fire Safety Certification - Fire Safety Certificate No. 4 (word - 76.0 kb) (download help) must be returned by 30 September in the following financial year, or by a date to be agreed between the organisation and the department's PASA. This date will take into account any relevant upgrading works that are scheduled.

Funded organisation (owned / leased) premises fire safety standard (Standard No. 5)

Type of service:
Bed based with rostered/live-in staff support/supervision for statutory clients. May include disability (including respite), placement and support, mental health, drug and alcohol and SAAP residential services.

Premises*:
Owned or leased by the organisation, but not a private home.

Capital Development Guidelines, Series 7, Fire Risk Management (relevant guidelines applicable for specific occupancy types for which the organisation has responsibility). The guidelines can be accessed on the department's website (Publications section under the heading of Financial and Corporate Services Division, Capital Management Branch, 'Fire Risk Management Guidelines').

The organisation is required to make certain that the persons in its care are appropriately protected from risk from fire. This protection includes:

• Premises - The premises must meet the requirements of the relevant Capital Development Guidelines, Series 7, Fire Risk Management (as amended from time to time) applicable to those premises*. The department will discuss the process of fire safety assessment and upgrade works and availability of funds (where this has not already been done) to meet these requirements.

  * in each case a reference to premises refers to those premises from which the service (which is subject to this service agreement) is provided.

• Operational readiness - The organisation must ensure that appropriate operational readiness measures are developed, implemented and reviewed as a minimum in accordance with Australian Standards: AS 4083-1997, Planning for emergencies - Health care facilities and AS 3745-2002, Emergency Control Organisation and Procedures for Buildings as appropriate. This includes (but is not limited to) development of fire emergency management and evacuation procedures, training of staff to implement the procedures developed, and conducting regular drills.

  For organisations providing disability and/or placement and support residential services, operational readiness measures shall be in accordance with the department's fire and emergency response procedures and training framework (as amended from time to time). The framework can be accessed on the department's website (Publications section under the heading of Financial and Corporate Services Division, Capital Management Branch, 'Fire and Emergency Response Procedures and Training Framework').

• Maintenance of essential services - The organisation shall ensure that all Essential Safety Measures (including all fire safety equipment/systems) are adequately maintained in accordance with the Building Regulations.

  Completion of the weekly check list for Disability Services and Placement and Support will assist in providing documentation to support completion of the annual Essential Safety Measures Report.

• Client placement - The organisation must determine whether the premises are suitable for the clients to be evacuated safely, taking into account any fire safety systems installed, and the evacuation capacities of the client. Where any relevant change may affect a client's ongoing ability to evacuate safely, the suitability of the placement must be reassessed immediately and appropriate action taken as soon as possible.

Where the organisation does not select the clients, the organisation must still monitor any relevant changes that may affect the client's ongoing ability to evacuate safely, assess the suitability of the placement, and take appropriate action as soon as possible.

• Fire Safety Certification - Fire Safety Certificate No. 5 (word - 80.0 kb) (download help) must be returned by 30 September in the following financial year or by a date to be agreed between the agency and the department's PASA. This date will take into account any relevant upgrading works that are scheduled.

Department of Human Service funded organisations acting as the employer or ‘person who manages or controls workplaces’ of the site, are typically responsible for the management of asbestos related risks in their facilities—even when the facility is leased from the department. The organisation has specific asbestos related duties under Part 4.3 of the Occupational Health and Safety Regulations 2007, as well as a duty of care to clients, visitors and contractors entering or located at the site.

Services where the department has a duty of care shall provide an annual declaration to their respective Divisional Executive regarding asbestos, using the certificate of compliance, when there are:

• children who are under the guardianship or in the custody of the department living at an organisation's facilities
• persons are held against their will by the department (such as a youth in custody) at organisation facilities.

The guidelines for asbestos management are available on the following website:

www.capital.dhs.vic.gov.au/TechnicalGuidelines/AsbestosManagement/

Any queries regarding this policy are to be directed to the Department of Human Services' Capital Management Branch on 9096 2055.

The Incident Reporting Instruction can be accessed via the Funded Agency Channel at:

• https://fac.dhs.vic.gov.au/home.aspx?TabID=content&type=4&contentID=1030

A departmental instruction on 'Responding to allegations of physical and sexual assault' is available on the Funded Agency Channel's Incident Reporting web page. Supporting materials are also included on this page.

To access the departmental instruction and other relevant information, refer to the Incident Reporting web page at: https://fac.dhs.vic.gov.au/home.aspx?Tabid=content&Type=4&contentID=1030

The department is committed to accepting and investigating complaints and processing information access requests about its services in an open, impartial and timely manner. In addition to its legislative obligations, the department has a corporate obligation to act in the best interests of its clients.

It is important that all complaints are managed in line with the department's values and every attempt is made to address the matters that arise from such complaints and requests. This enables the department to meet its legislative obligations and enhance its quality improvement activities.

The department's Corporate Integrity, Information and Resolutions unit (CIIRU) provides support and assistance in the management and development of complaints guidelines and process. CIIRU also manages a complaints line for department staff and members of the public to register their complaint or query. The telephone number is: 1300 884 706 or via email complaints.reception@dhs.vic.gov.au.

The department's definition of a complaint is taken from the AS ISO 10002-2006 Customer Satisfaction - Guidelines for Complaints Handling in Organisations. A complaint is defined as:

• a registered expression of dissatisfaction with any departmental service, provided, funded or regulated
• lodged by a complainant or their representative
• verbally or in writing
• a complaint relates to a specific episode, occurrence or failure in provision of service that has resulted in an impact on any individual or group.

A general expression of concern is not defined as a complaint, nor are appealable matters.
For more information visit CIIRu at http://www.dhs.vic.gov.au/pdpd/ciiru/

Overview

The Department of Human Services in its role as an employer, regulator and funder is committed to providing quality services to vulnerable clients in a safe environment. The department requires that funded organisations include pre-employment/pre-placement police record checks in their recruitment processes, to minimise the risk of employing unsuitable people.

Working with Children Check

The Working with Children Act 2005 introduced mandatory screening processes for people who volunteer or work with children.  

From 1 July 2006, organisations receiving funding from the Department of Human Services are responsible for ensuring that employees or volunteers undergo a Working with Children Check if required. Section 9 of the Working with Children Act 2005 identifies which employees or volunteers require a Working with Children Check.

For more information on the Working with Children Check or the Working with Children Act 2005, visit the Department of Justice's website at http://www.justice.vic.gov.au/workingwithchildren or telephone the Working with Children Check Information Line on 1300 652 879.

Police record checks policy

The 'Pre-employment/pre-placement police record checks' policy below is distinct from the Working with Children Check.

Application of the policy to funded organisations

All organisations that are funded by the Department of Human Services to provide services to specified clients and patient categories (as listed below) are required to comply with this policy.

The (specified) clients and patients categories are:

• any person under the age of 21 years who is subject to an order of the court of Victoria which relates to their care or protection
• any person under the age of 18 years who is subject to a protective intervention report, investigation or involvement by Child Protection
• any person who is subject to an order of the Children's Court or subject to guardianship, following a protection application
• any person under 18 years to be placed for adoption by Human Services
• any person under 18 years who receives a residential or home based care or other service funded through Child Protection and/or Supported Accommodation and Assistance Program (SAAP)
• any person who has a disability as defined by the Disability Act 2006
• any person who receives accommodation support services provided to groups in community based settings and residential institutions
• any person who receives care or treatment for a mental illness though a public mental health service or psychiatric disability and rehabilitation support service funded through the State government
• any person who receives services through Specialist Children's Services in the Child and Family Health Program
• any person who receives services under the Home and Community Care (HACC) program
• any person who receives treatment through the Dental Health Program and the Tuberculosis (TB) Program
• any person defined as a patient under the Alcohol and Drug Dependent Persons Act (Section 28 Sentencing Act)
• any aged or infirm person who receives in-home services
• any person who receives public rental housing services under the Housing Act 1983, and
• any other such client or patient who receives direct care services and where in the view of the relevant manager, that there may exist an unacceptable level of risk by exposing these clients or patients to inappropriate persons.

When a police check is required

Below is a list of circumstances or persons where a police record check is required. The circumstances include either actual unsupervised contact with the specified client and patient categories listed previously, or the potential for such unsupervised contact.

Note: An offer of employment or placement in direct care/patient areas cannot occur until the completed police record check and any referee checks have been assessed and clearance given.

Organisations should adopt this listing and include the owner/s and/or proprietor/s, their representatives, board members and any other staff who, because of their role, would have unsupervised access, or the potential for access, to the specified client or patient categories:

• a prospective manager within the organisation, directly managing services to the specified client or patient categories
• a prospective direct contact employee, caregiver, volunteer or student to be placed within the organisation to provide services to the specified client and patient categories
• staff to be placed within the organisation from contract staffing organisations, to provide services to the specified client and patient categories
• existing organisation employees not already working in direct care areas prior to their promotion or transfer into jobs in client or patient contact areas
• any casual or relieving staff where there is contact with the specified client and patient categories
• primary caregivers, as well as those who provide services providing personal care or assistance or those who are in a position of trust and responsibility with clients or patients from the specified categories. Caregivers include but are not limited to: foster parents, private board providers, home board providers, Interchange families, Adolescent Community Placement caregivers, YASS caregivers, Cottage Parent spouses/partners, co-habiters in foster care, private board, Adolescent Community placements, YASS placements; Family Options caregivers, lead tenants, all adult cohabiters in home based and residential care (including spouses/partners and children aged 18 and over), and other providers of home based care funded through Protective Services and/or SAAP
• volunteers, including those volunteers used during strike action, and 
• any staff from a contractor who is contracted to provide services in the organisation's facilities where there is contact with the specified client and patient categories, such as security staff and cleaners.

Other employees not involved in direct or patient contact may be required to undergo a police record check where the manager certifies that the job requires consideration of any police record check before approving employment.

Police record checks are not required for persons aged sixteen or younger, however referee checks should be conducted. Teachers, parents and others who personally know the individual should act as referees and the credentials of any referees should be verified.

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Student placements

Police record checks should be undertaken prior to the confirmation of the first placement and in each subsequent year of study. The student has the responsibility to notify the educational institution and the organisation of any change to the student's police record check status during the course year.

The educational institution's course coordinator must ensure that students are notified of the Department of Human Services' information collection requirements. The course coordinator must also explain the implications of consenting to a police record check and that refusal to undergo a police record check will mean that a placement cannot proceed.

Where to obtain a police check

The Department of Human Services does not organise police record checks for funded organisations (except in emergency situations - see below). Police record checks can be obtained directly from Victoria Police (http://www.police.vic.gov.au) or through an authorised service such as a CrimTrac accredited agency (http://www.crimtrac.gov.au/about_us/index.html).

Emergency police record checks

The Department of Human Services will conduct police record checks for funded organisations only in emergency situations. Emergency situations include those where client or patient contact is an immediate urgent issue (such as short term, emergency placement of children with extended family members or friends or for assessing volunteers being used in strike situations). The emergency check process should only be used in genuine emergencies and not as a solution to the late submission of police record check requests as there are limits on the number of emergency checks that can be conducted.  

The emergency checks are to be arranged through the relevant Department of Human Services' Regional Employment Police Record Checks Coordinator. The department will invoice organisations for any emergency checks conducted on their behalf, except where the department would normally reimburse these costs.

International police checks

Any applicant who has resided in an overseas country for 12 months or more in the last ten years should contact the relevant overseas police force to obtain a criminal or police record check. Victoria Police does not conduct international police checks.

Some countries will not release information regarding an individual for personal or third party purposes. Where police records checks cannot be made, referee checks must be conducted with at least two individuals who personally knew the individual while they were residing in the other country.

The applicant must be informed that referees will be asked whether they have knowledge or information concerning the applicant, which would adversely affect the applicant from performing the job, including any relevant criminal offences. The credentials of persons acting as referees must be verified and can include previous employers, government officials and family members.

Overseas applicants should not commence employment until this process is satisfactorily completed.

Information contained in police record checks

Information released as part of a police record check is restricted according to the relevant legislation or release policies operating in the specific police jurisdiction. Please refer to the Victoria Police website for more information (http://www.police.vic.gov.au).

Cost of police record checks

Current information on the cost of obtaining a police record check through Victoria Police can be obtained from the Victoria Police website (http://www.police.vic.gov.au). Applicants and organisations conducting police record checks may be able to access reduced fees for checks on volunteers and students on placement. Refer to the Victoria Police website for more information.

Some authorised service providers, such as CrimTrac accredited agencies, may also offer reduced fees for volunteers (http://www.crimtrac.gov.au/about_us/index.html).

Steps in the police record check process

Prior to lodging a police record check

Organisations (with client/patient categories identified as above) must inform applicants that a police record check will be conducted if the applicant is the preferred applicant.

Requests for police record checks can only be submitted if the individual's written consent has been obtained. Written consent is obtained when the individual completes the relevant consent form provided by Victoria Police or CrimTrac accredited agency.

During the interview, the police record check process is to be explained to the applicant. The applicant is to be given the opportunity to ask questions about the police record check process. Applicants must also be advised:

If the organisation is conducting police record checks through a CrimTrac accredited agency the funded organisation should ensure that they provide applicants with relevant information as outlined by the accredited agency.

Lodging a police check

Procedures for lodging a police record check are to be obtained from Victoria Police (http://www.police.vic.gov.au) or the CrimTrac accredited agency providing the police record check service.

Results of the police record check - no disclosable record

Where the police record check of the preferred applicant, volunteer or student reveals no disclosable court outcomes, outstanding charges or other matters the appointment may be confirmed (an offer of employment or placement can be made).

Results of the police record check - disclosable record

An applicant should not automatically be precluded from a job or placement on the basis of having a police record.

The relevant manager in the funded organisation will manage the assessment process in order to determine the applicant's suitability for employment or placement.

The funded organisation manager will ensure that:

• the applicant, student or volunteer confirms that the details of the disclosable record are correct
• assessment of the disclosable record of the applicant, volunteer or student is made in accordance with the assessment criteria detailed below
• before employment is formally offered, a discussion occurs with the relevant DHS regional senior program manager about the intention to employ an individual with such a record
• following the discussion, the manager from the funded organisation obtains an email from the DHS regional senior program manager that confirms the outcome to either employ or not employ the individual (without reference to the details of the disclosable record), and
• any decision made for or against a person is able to be justified and is fully documented.

The funded organisation manager should give consideration to the following assessment criteria:

• the relevance of the criminal offence, in relation to the job or placement
• the nature of the offence and the relationship of the offence to the particular job or placement for which the applicant is being considered
• the length of time since the offence took place
• whether the person was convicted or found guilty and placed on a bond
• whether there is evidence of an extended police record
• the number of offences committed which may establish a pattern of behaviour which renders the applicant unsuitable
• whether the offence was committed as an adult or a juvenile
• the severity of punishment imposed
• whether the offence is still a crime, that is, has the offence now been decriminalised
• whether there are other factors that may be relevant for consideration, and
• the person's general character since the offence was committed.

Where an applicant, volunteer or student with a disclosable record is not cleared by the Department of Human Services, the funded organisation manager must:

• inform the unsuccessful applicant of the decision and its rationale
• provide an opportunity for the unsuccessful applicant to discuss the results, and
• inform the unsuccessful applicant of the opportunity for the decision to be reviewed.

Storage of documentation and confidentiality

Disclosable records containing information relating to criminal convictions, findings of guilt, outstanding charges and other matters are confidential and must be handled appropriately to ensure security and confidentiality at all times.

Police record check documentation (including consent forms, proof of identity documentation and records checks) should be used and stored in accordance with the Information Privacy Act 2000 and any contractual requirements with the CrimTrac accredited agency.

An organisation entering into a service agreement must be aware of and able to provide an appropriate documented system to demonstrate compliance with its occupational health and safety obligations as employers under all relevant State and Federal law, including the Occupational Health and Safety Act 2004. Of particular note are sections 21(1), 21(2) 21(3) 22 and 23 of the Occupational Health and Safety Act.

Key to providing a safe work place is applying the principles of the OHS Act 2004. These are:

1. The importance of health and safety requires that employees, other persons at work and members of the public be given the highest level of protection against risks to their health and safety that is reasonably practicable in the circumstances.
2. Persons who control or manage matters that give rise or may give rise to risks to health or safety are responsible for eliminating or reducing those risks so far as is reasonably practicable.
3. Employers and self-employed persons should be proactive, and take all reasonably practicable measures, to ensure health and safety at workplaces and in the conduct of undertakings.
4. Employers and employees should exchange information and ideas about risks to health and safety and measures that can be taken to eliminate or reduce those risks.
5. Employees are entitled, and should be encouraged, to be represented in relation to health and safety issues.
   

Schedule 1 of the service agreement sets out the requirements of an organisation to comply with all State and Federal law relevant to its operation.

Information sheet

Employer obligations (Section 21 Duties of Employers to Employees)

• Section 21 covers the duties of employers toward their employees.
• Section 21 (1) requires an employer to provide and maintain, so far as is reasonably practicable for employees, a working environment that is safe and without risks to health.
• Section 21 (2) sets out specific duties as examples of what is necessary to comply with the general duty.
• Section 21 (3) duties of employers are to employees including independent contractors and their employees. These duties are limited to matters over which the employer has, or should have, control, or would have had control but for any agreement between the employer and the independent contractor to the contrary.
• Section 22 describes duties of employers to monitor health and conditions.
• Section 23 an employer must ensure, so far as is reasonably practicable, that persons other than employees of the employer are not exposed to risks to their health or safety arising from the conduct of the undertaking of the employer.
  

Employee obligations (Section 25)

Employee obligations under the Act are covered in section 25. This requires that:

• An employee must take reasonable care for his or her own health and safety and for the health and safety of anyone else who may be affected by his or her acts or omissions at the workplace, and to cooperate with his or her employer with respect to any action taken by the employer to comply with any requirements imposed by or under this Act. In addition, employees must not wilfully or recklessly interfere with or misuse safety equipment that is provided. They must not wilfully put at risk the health and safety of others.

Consultation Part 4: Sections 35 (1 and 2) and 36 (1,2 and 3)

The OHS Act 2004 clearly defines the duty employers have to consult with staff and/or health and safety representatives on a range of OHS issues, including making decisions about risk controls, adequacy of facilities and any changes to the workplace, plant or conduct of work that may directly impact on the safety or health of employees.

Issue resolution (Section 73)

Section 73 requires the employer or their representative, and the employees affected by the issue, and/or a designated work group in relation to which the issue has arisen, to work to resolve the health and safety issues at that workplace.

A health and safety issue may include any:

• item in the general duties section of the Act
• hazard or potential hazard, and
• procedural issue relating to health and safety does not necessarily imply the existence of a health and safety dispute. Issues can be resolved through the prescribed procedure set out in the section 78 of the OHS Act 2004, or through an agreed procedure, which provides a step-by-step process to enable the speedy and effective resolution of health and safety issues.

Manual handling

Occupational Health and Safety (Manual Handling) Regulations 2007 Part 3.1 Manual Handling emphasise the identification, assessment, control and review of manual handling risks. All organisations should address their manual handling issues by (as a minimum) ensuring compliance to this part of the regulations.

Manual handling in the workplace is any task or situation that requires physical effort such as operating or using or doing a task, for example, a computer keyboard, cleaning a floor, moving equipment, moving clients into baths and vehicles, pushing a trolley and so on.

Effective occupational health and safety management

An effective health and safety program will include managing key sector risks such as manual handling, occupational assault and stress and, as a minimum:

• specifically designated personnel to be responsible for occupational health and safety functions and activities
• documented occupational health and safety policies and procedures, including safe work procedures and emergency procedures
• appropriate training and information in health and safety for all staff
• an established incident reporting and investigation process, including hazard identification and control mechanisms
• appropriate consultative procedures, and
• monitoring and review processes.

When developing an occupational health and safety program, refer to the Victorian WorkCover Authority (VWA) Safety MAP program or AS4804 and AS4801.

Notification of incidents to the Victorian WorkCover Authority

Under the Occupational Health and Safety Act 2004 Part 5 Duties relating to incidents:

• Section 37 defines the incidents to which part 5 applies
• Section 38 explains the requirements of the 'Duty to notify', and
• Section 39 describes the requirement to preserve the site.
  

Note: Relevant incident(s) must be reported to WorkCover by calling 132 360, immediately after becoming aware of the incident and written notification must be provided within 48 hours.

Further information

A Guide to the Occupational Health and Safety Act 2004 can be obtained from the local VWA office. The VWA also provides advice on all workplace health and safety issues. The VWA contact telephone number is 03 9641 1444. Toll free 1800 136 089.

Copies of Victorian Acts and Regulations can be purchased from Information Victoria on 1300 366 356.

Under the Accident Compensation Act 1985, organisations with a rateable remuneration level in excess of $7,500 are required to have a WorkCover policy with a VWA authorised agent (insurer). A list of agents is available from the VWA.

The organisation's obligations under the Act, and associated accident compensation legislation, extend to the:

• payment of WorkCover premium by employers
• registration of work sites
• management of claims, and
• payment of compensation and assistance with rehabilitation and return to work for employees injured in the course of their work.

Guidelines for implementing WorkCover obligations are available from the VWA and authorised WorkCover agents. The VWA contact phone number is 03 9641 1444.

Note: An organisation's employees are not covered by the department's WorkCover policy.

Premium discount

The Victorian WorkCover Authority may offer a discount to some organisations where the WorkCover premium is paid as a lump sum instead of by instalments. Details of the discount offered may vary from year to year. The department may advance service agreement funding to facilitate an organisation accessing the WorkCover discount. Requests for adjustments to funding cash flow should be directed to the organisation's departmental contact.

Topics

• What is the Charter?
• How does the Charter affect the Department and funded organisations?
• What is a public authority?
• How do you know if you are a public authority?
• What are the obligations if my organisation is a public authority?
• Exceptions from the obligation to comply with the Charter
• Breaches of human rights
• List of rights protected by the Charter
• For further information

What is the Charter?

The Charter is a Victorian Act of Parliament that protects and promotes 20 civil and political rights. Examples of rights included in the Charter are the right to vote, the right to privacy and the right to be free from discrimination. It is based on the United Nations treaty, the International Covenant on Civil and Political Rights to which Australia is a signatory. The Charter is on the Victorian Parliament website at http://www.legislation.vic.gov.au/.

The aim of the Charter is to protect and promote human rights by ensuring that public powers and functions are exercised in a principled way and that public power is not misused. It complements a number of other pieces of legislation that are aimed at regulating the relationship between individuals and the State.

How does the Charter affect the department and funded organisations?

One important way the Charter protects rights is by placing obligations on public authorities. The Department of Human Services is a public authority, but so too are other organisations, including some of the organisations funded by the department. How to decide if your organisation is a public authority and the obligations of public authorities are outlined below.

What is a Public Authority?

There are three kinds of organisations that the Charter says are public authorities and therefore bound by the rights in the Charter:

1. Bodies listed in the Charter itself. These include:

• public servants
• local councils
• Victoria Police, and
• organisations listed in regulations made under the Charter.

2. Organisations established under legislation that perform public functions. Examples of these are:

• public hospitals
• cemetery trusts
• Child Safety Commissioner, and 
• Infertility Treatment Authority.

3. Organisations that exercise public functions on behalf of the State or on behalf of another public authority.

Organisations that come within this third category are only public authorities depending on their functions.  It will be a 'public authority' if it meets two criteria:

• the function performed by the organisation is a function of a public nature, and 
• the organisation must be exercising the function on behalf of the State or a public authority because of a contract or otherwise.

When an organisation is performing functions that meet this test, it must comply with the Charter in carrying out those functions. Organisations that perform a number of functions may satisfy this test only when performing some of its functions. However, as a matter of best practice, the organisation may choose to comply with the Charter in respect of all activities that affect human rights.

How do you know if you are a Public Authority?

For organisations in the last category, it may not always be clear whether they fall into the definition of a public authority or not. The following questions may assist organisations in clarifying whether they are public authorities:

1. Is the organisation performing functions of a public nature?

Some factors that can be considered include:

• Does legislation give the organisation that function?  For example, regulations impose certain obligations on Breast Screen Victoria Inc in relation to keeping a register.
• Is the function one that is usually identified with functions of government? For example, the provision of public hospital services.
• Is the organisation funded by DHS to perform that function? Examples include out of home care services for children, community-based child and family services and disability services.
• Is the function one of a regulatory nature, such as regulating a profession?

These factors are not exhaustive or conclusive. Some of the factors may be present when an organisation is performing a function that is not of a public nature.

2. Is the organisation performing the functions on behalf of the State, in this case DHS, or another public authority?

In many cases it is clear when a function is being performed for the State or another public authority. Examples include provision of public hospital services and out of home care services for children. Often it will depend on the circumstances of each case. However, the Charter specifies that:

• the fact that an organisation is publicly funded to perform a function does not necessarily mean that the organisation is performing the function on behalf of the State, and
• an organisation does not have to be an agent of the State to be acting on behalf of the State.

If an organisation is unclear, they may choose to seek further legal advice or comply with the Charter in the exercise of their functions as a matter of best practice.

What are the obligations if my organisation is a public authority?

If an organisation is a public authority it must act compatibly with the human rights contained in the Charter and give proper consideration to relevant rights when making decisions. This means that public authorities must consider the rights protected by the Charter when they make decisions, set policies and provide services. When the organisation acts or makes any decision that affects an individual, the organisation must consider the rights set out in the Charter and act compatibly with those rights.

There are steps that organisations can follow to ensure that they meet these obligations.  Organisations should:

• think about where human rights are relevant to their activities and decisions that they make;
• where rights are engaged (relevant to the decision or action) they need to consider whether or not the decision or action is limiting a right in the Charter, and
• if a right is limited, the organisation needs to be able to demonstrate that the limitation is reasonable. The organisation will need to consider whether the limitation is lawful, necessary, and proportionate.   

It is important to understand that the Charter allows for all of the rights to be reasonably limited. Just because a human right is engaged by a decision or action does not mean that the decision or action is incompatible with the Charter.

Organisations will make decisions and apply procedures that impact on an individual's human rights. This action is still compatible with the Charter as long as it can be demonstrated that the limitation on the right is reasonable.

Exceptions from the obligation to comply with the Charter

A public authority is not obliged to comply with the Charter in three cases:

• a Victorian law or a Commonwealth law means that the organisation cannot comply
• the act or decision is of a private nature, and 
• the public authority is also a religious body and compliance with the Charter would prevent it from conforming with the religious doctrines, beliefs or principles of the public authority.

Breaches of human rights

An individual cannot take legal action if his or her only reason is a breach of Charter rights. However, the Charter allows a person to raise a human rights argument in a court or tribunal in an existing case. Under the Charter, the Ombudsman also has the power to investigate whether any administrative action is incompatible with a human right.

The Charter does not provide for compensation for a breach of Charter rights.

List of rights protected by the Charter

Rights protected by the Charter are:

• right to be recognised and equal before the law
• right to life
• right to be protected from torture and cruel, inhuman and degrading treatment, and not to be subject to medical or scientific experimentation or treatment without consent
• right not to be held in slavery or made to perform forced work
• right to freedom of movement
• right to privacy and reputation
• right to freedom of thought, conscience, religion and belief
• right to freedom of expression
• right of peaceful assembly and freedom of association
• right of families and children to protection by society and the State
• right to take part in public life
• right of a person to practise and enjoy his or her culture, religion and language
• right not to be deprived of property
• right to liberty and security of person
• right of a person deprived of liberty to be treated humanely
• right of a detained child to be segregated from detained adults
• right to a fair hearing
• right of a person charged with a criminal offence to be presumed innocent
• right not to be tried or punished more than once, and
• rights concerning retrospective criminal laws.

For further information

• Department of Justice: http://www.justice.vic.gov.au
• Victorian Equal Opportunity and Human rights Commission: http://www.humanrightscommission.vic.gov.au
• Funded Agency Channel https://fac.dhs.vic.gov.au

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.

Unlike most disasters that are short, sharp and localised, a pandemic will be widespread, last for several months and come in waves. Organisations can expect that at the peak of a pandemic, between 30 and 50 per cent of staff and volunteers to be absent from work due to illness, fear of contamination, caring responsibilities or restrictions of movement. As more people become ill, absenteeism will increase. This will have a profound effect on your organisation and its ability to continue operating, especially at a time when the particular services your organisation provides may be in even greater demand. [Excerpt from the FAHCSIA pandemic planning website]

Department of Families, Housing, Community Services and Indigenous Affairs (FAHCSIA) pandemic planning website

The FAHCSIA website provides information on pandemic planning and includes a Pandemic Influenza Work Book - Building resilience through business continuity and pandemic planning for non-government organisations.

FAHCSIA pandemic planning website: http://www.fahcsia.gov.au/sa/communities/progserv/Documents/pandemic_influenza/default.htm

Funded Agency Channel

Further information is also available on the Department of Human Services' website for funded organisations, the Funded Agency Channel, on the web page 'Preparedness is key to organisational and community recovery from the impacts of disasters'.

The Department of Human Services aims to ensure that the human service sector is prepared to address climate change risks. Consistent with this, organisations are encouraged to:

• include climate change risks within the scope of their risk managment practice;
• prepare climate change adaptation plans detailing adaptation goals, objectives and risk treatments; and
• commence implementation of the climate change adaptation plan within a timely manner.

A good basis for undertaking this work is Climate Change Impacts and Risk Management A Guide for Business and Government by the Australian Government and Heritage, Australian Greenhouse Office, Canberra 2006.

The Department of Human Services intends to produce additional material to assist organisations over the rest of the 2009 calendar year.

The Department of Human Services Language Services Policy outlines the requirements for departmental services and funded organisations to enable people with a low level of English proficiency, or who use Auslan as their first language, to access professional interpreting and translating services when making significant life decisions or where essential information is being communicated.

The policy assists in the identification of critical points for language services provision to ensure clients can make informed decisions about their lives and their health.

Departmental services and funded organisations should have policies and procedures in place to meet the following three minimum language service requirements:

• Clients who are not able to communicate through written or spoken English have access to information in their preferred language at critical points;
• Language services are provided by appropriately qualified professionals;
• People, including family members, under 18 years of age are not used as interpreters.

An electronic copy of the Language Services Policy can be downloaded at:
http://www.dhs.vic.gov.au/multicultural/html/langservpolicy.htm

The delivery of culturally responsive, equitable services is a core quality expectation of Department of Human Services programs and funded organisations, underpinned by key government legislation, program standards and guidelines. The Department of Human Services Cultural diversity guide has been developed to assist service providers by identifying a range of available strategies to improve cultural responsiveness, recognising that there are many different pathways to equitable, high quality service provision.

The guide includes examples of good practice that already occur across the human services sector.

Topics covered in the Cultural diversity guide include:

• Understanding clients and their needs
• Partnerships with multicultural and ethno-specific organisations
• A culturally diverse workforce
• Using language services to best effect
• Encouraging participation in decision making
• Promoting the benefits of a multicultural Victoria

Health and well-being outcomes for Aboriginal Victorians are significantly below those for the non-Indigenous population. Both 'mainstream' and Aboriginal Community Controlled organisations have important roles in addressing this disadvantage.

As part of ensuring that services delivered in 'mainstream' organisations are accessible to and appropriate for Aboriginal people, organisations should review their services to ensure that they are culturally relevant and that Aboriginal people and families feel safe in accessing them.

Organisations are also strongly encouraged to establish links with relevant Aboriginal organisations.

Effective partnerships with these organisations assist service planning, provision and monitoring which is inclusive of the needs of Aboriginal people.

Funded mainstream organisations requiring advice on contact details for relevant Aboriginal organisations should seek information from organisations' Department of Human Services Program and Service Advisor (PASA).

The Multiple and Complex Needs Initiative (MACNI) is a joint initiative of the Department of Human Services and the Department of Justice. MACNI has established a new approach to service planning and delivery for those individuals whose multiple and complex needs challenge existing legislative frameworks and service systems.

The Human Services (Complex Needs) Act 2009 underpins MACNI.  This legislative framework facilitates the delivery of coordinated welfare, health, mental health, disability, drug and alcohol treatment and housing and support services to people deemed to be eligible under the Act.  A copy of the Act is located on the department's website at http://www.dhs.vic.gov.au/operations/regional-operations-performance/multiple-and-complex-needs-unit).

MACNI promotes collaborative cross program planning and support at the local level to improve individual outcomes, wherever possible. In addition, it provides a highly targeted specialist intervention that aims to:

• stabilise housing, health, social connection and safety issues
  
• provide a platform for long term engagement in the service system
  
• pursue planned and consistent therapeutic goals for each person.

MACNI is complementary to, and does not replace, existing services or systems of support for individuals with multiple and complex needs. Successful implementation of MACNI requires existing service providers to respond to the needs of people within the target group in accordance with the guiding principles of the Act.

MACNI eligibility criteria are intentionally broader than current program guidelines as it is recognised that people within this target group require a more flexible and coordinated cross sector service response.

Access to MACNI is via consultation with the MACNI Regional Coordinator appointed in each region. For further information contact Anne Leonard, Manager MACN Initiative on 9096 7995 or by email at anne.leonard@dhs.vic.gov.au