The second section of the NDIS Practice Standards is quite meaty as it covers the governance and operational management responsibilities of NDIS Providers. These are the set of rules that guide what you do and how you do it. The previous article looked at section 1 of the standards, the rights and responsibilities of participants. Those outcomes are also covered by provider governance and operational management. Section 2 is covered on pages 7-11 of the Practice Standards and is divided into the following outcomes:
- Governance and Operational Management
- Risk Management
- Quality Management
- Information Management
- Feedback and Complaints Management
- Incident Management
- Human Resource Management
- Continuity of Supports
- Emergency and Disaster Management
Under each outcome, a list of indicators enables providers to measure their progress towards the outcome. For example, Information Management has four indicators in the Practice Standards document.
Compliance with this section allows you to demonstrate to the NDIS that:
- Your governing body has appropriate skills for the size of your business or organisation and the supports you provide to participants.
- You have policies and procedures that inform your service, are easy to understand and accessible to all staff and participants who also have input into them.
- You have a clear organisational structure that all staff are aware of, including the delegation of authority and responsibilities when a key person is absent.
- There is a strategic plan for your business or organisation.
- Staff recruitment ensures worker screening, qualifications and experience of staff. This is supported by an orientation and induction process.
- Staff receive appropriate supervision, performance review and professional development.
- Conflicts of Interest are documented, and any perceived or actual conflicts are managed appropriately.
- You have an active feedback and complaints process which is recorded and demonstrates a positive impact on stakeholders.
- You have an active and documented risk management system to regularly identify and prioritise risks.
- There is a documented continuous improvement management system.
- There is a documented incident management system.
The above aspects of governance and operational management should be supported by appropriate documentation. I have compiled some of the different types of documentation that could be used for each outcome. However, this information will of course differ depending on the size and proportion of each provider.
All five outcomes have some evidence in common. These include:
- Continuous Improvement Plan/Register: An organisation-wide commitment and concrete strategies to continually find ways of doing things better.
- Feedback and Complaint Form/Register: Documents participant and other stakeholder satisfaction. Provides valuable information for the continuous improvement of supports and services.
- Internal Audit Program/Report: A non-prejudiced review of the providerâs methods and processes to help identify strengths and areas of improvement.
- Participant and Staff Satisfaction Surveys: Participant and staff voices provide evidence of continuous improvement and evidence-based practice.
- Participant Handbook: Provider information including policies and procedures for participants.
- Staff Handbook: Outlines organisational information, policies and procedures relevant to staff.
- Staff Training and Qualification Matrix: Track staff training and qualifications including dates to refresh them.
- Strategic Plan: The goals of your business and how you are planning to achieve them.
Other evidence is specific to a certain outcome these are listed below:
GOVERNANCE AND OPERATIONAL MANAGEMENT
Asset Register: A record of all the assets owned by your business including their condition, value and location.
Conflict of Interest Declaration/Register: Documents that disclose staff interests that could influence their work.
Delegation of Authority Register: Staff qualifications those qualified to assume responsibility if key personnel are absent(also relevant to âContinuity of Supportsâ outcome).
Legal Requirements Register: Identifies and records the legal requirements applicable to the business (also relevant to âQuality Managementâ outcome).
Management Review Report: A review of members of the governing body to ensure they can govern effectively (also relevant to âQuality Managementâ outcome).
Operational Plan: Daily tasks and responsibilities required to achieve business goals and execute the strategic plan.
Meeting agendas and minutes: A record of plans for and outcomes of meetings at all levels of your business.
RISK MANAGEMENT
Certificate of Currency (CoC) of Insurance: Confirms your active insurance policy.
COVID-19 Management Plan: Outlines how COVID-19 exposure and transmission risks are being managed.
Emergency and Disaster Management Plan: How emergencies and disasters are identified and managed to ensure continuity of the business and supports (also relevant to âEmergency and Disaster Managementâ outcome).
Hazard Identification Report: Potential hazards in a workplace and how to mitigate them.
Incident Register/Report: A record of actions relating to responses or follow-up actions to incidents and progress with these. Informs the continuous improvement plan (also relevant to âIncident Managementâ outcome).
Participant Home Risk Assessment Checklist: Identifies important information and potential risks before and during an initial visit to a participant (also relevant to âEmergency and Disaster Managementâ outcome).
Staff Performance Review Form: Formal assessments of staff work performance.
Staff Position Descriptions: The responsibilities, qualifications and other details for a specific job role to ensure staff are qualified to provide supports (also relevant to âHuman Resource Managementâ outcome).
Risk Management Plan: Identifies and outlines how your business manages and documents potential risks. (also relevant to âEmergency and Disaster Managementâ outcome).
Risk Register: Compilation of risks that have been identified through the Risk Management Plan and Hazard Identification Reports. Informs the continuous improvement plan (also relevant to âEmergency and Disaster Managementâ outcome).
QUALITY MANAGEMENT
Company Values, Vision and Mission Statement: Demonstrates commitment to the Practice Standards and Continuous Improvement.
Business Plan: Your businessâs goals, operations and financial performance.
Document Control Register: Tracks and manages all your businessâs documents including dates for review.
Participant Exit Form: Questions posed to participants departing from the provider assessing their experience and why they are leaving.
INFORMATION MANAGEMENT
Participant Consent Form: Evidence of participant consent to gather and store their information to provide supports and services (also relevant to âContinuity of Supportsâ outcome).
Participant File: Evidence of assessments, service agreements, and support plans (also relevant to âContinuity of Supportsâ and âEmergency and Disaster Managementâ outcomes).
Social Media Release Form: Evidence of participant consent to use photographs or videos of them for external communications.
Service Agreement: A contract between provider and participant that outlines the terms and conditions agreed to during the provision of supports and services (also relevant to âEmergency and Disaster Managementâ outcome)
HUMAN RESOURCE MANAGEMENT
Human Resource Register: Compilation of personal and professional staff information to aid with rostering, delegation, and ensuring appropriate qualification (also relevant to âContinuity of Supportsâ outcome).
NDIS Code of Conduct: Staff signed copies demonstrating their commitment to the NDIS Code of Conduct.
Staff Induction Checklist: A signed checklist used by management when inducting staff into the business, including staff documentation received and training given.
Staff Information Form: A form that documents employee information when commencing with your business.
Congratulations on making it this far through the intense section that is Governance and Operational Management! The next article will move on to the third section of the Practice Standards: Provision of Supports. This section focuses on how you are meeting the participantâs rights, responsibilities and needs and participant-focussed documentation to support this. It includes the following outcomes:
- Access to Supports
- Support Planning
- Service Agreements with Participants
- Responsive Support Provision
- Transitions to or from a Provider