principles and categories framework [word, 181.5 kb]

Regional Service Excellence Framework Principles and Categories

Published by Operations DivisionVictorian Government Department of Human ServicesMelbourne Victoria

December 2003

Also published onhttp://www.dhs.vic.gov.au/operations/html/framework.htm

© Copyright State of Victoria, Department of Human Services, 2003

This publication is copyright. No part may be reproduced by any process except in accordance with the provisions of the Copyright Act 1968.

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http://www.dhs.vic.gov.au/operations/html/framework.htm

Contents

Framework Category Page

Leadership 5

Effective Communication 7

Service Integration 9

Client Outcomes 11

Strategic Management 14

Knowledge Management 16

Workforce 18

Partnerships 21

(The Department of Human Services Victoria Regional Service Excellence Framework has adapted some of the characteristics of the Department of Human Services South Australian Service Excellence Framework. Department of Human Services Victoria is indebted to Department of Human Services SA for their willingness to share their materials and expertise with us.)

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LEVEL LeadershipEffective

communicationService integration

Client outcomes

Strategic management

Knowledge management

Workforce Partnerships

Organisational Learning

Ongoing improvement is part of the organisational culture

Leadership responsibility and accountability is demonstrated

Regional services are known and respected, internally and externally

Regional culture reflects an integrated organisation

A client-focused service system delivers good client outcomes

The organisational culture facilitates strategic thinking

The region values knowledge and builds the capability of staff

A learning culture supports staff to meet their potential

To be

further

developed

Leadership is continually developed

Support systems are aligned

Services are aligned with strategic directions

Developmental

Systems in place to drive good practice

Communication strategies aid change

Responses to client needs are consistently integrated

Clients systematically participate in organisational service planning, review and evaluation

A systematic approach is taken to planning, monitoring and review

Knowledge is used by regional staff to improve services

Employee health and wellbeing

To be

further

Leaders demonstrate vision

Communication processes promote department values

Advantages of service integration are understood

Services are regularly evaluated to improve client outcomes

Staff development is ongoing

developed

Client feedback is sought consistently

Essential

Basic requirements including compliance with legislation and service standards

Leadership capabilities are developed

Systems support sound communication

Staff are aware of and understand key elements of the local human services system

Clients are identified Strategic directions and the planning cycle are established

Effective knowledge management systems are in place

Employee roles are defined

Partnering in local planning

Leaders demonstrate capacity to influence

Appropriate technology is applied to communication

Service integration is promoted

Clients rights and expectations are respected

Regional performance is systematically monitored and reviewed

Knowledge is shared, accessible and applied

Workplace facilities are appropriate

Partnering in direct service delivery

Department of Human Services mission and values statements are put into practice

Systems and structures are in place to enable service integration

Services for clients are provided based on assessed need and available resources

Programs regularly monitor and report performance

Employee performance and development is promoted

Service agreement administration

Client outcomes are measured and documented

Risk management is integrated into the strategic planning process

HR management and planning processes are in place

Monitoring and data collection

Services are prioritised to optimise client outcomes

Workplace safety is promoted

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Regional Service Excellence Framework

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Leadership

Intent: To encourage leadership at all levels in accordance with the Department of Human Services values framework, to drive vision and promote excellence in a professional, client-focused service system.

Principles: Leaders at all levels strive for service improvement. Leadership potential is a key resource.

Essential Level

Department of Human Services mission and values statements are put into practice Department of Human Services mission and values statements are

communicated to all staff. Managers model and promote behaviour consistent with Department

of Human Services values, and Code of Conduct for the Victorian public sector.

Staff behaviour demonstrates Department of Human Services values. The role and purpose of regional services is communicated to staff,

clients and stakeholders.

Leaders demonstrate capacity to influence Regional management participates in and facilitates staff involvement

in regional level policy and practice development. Decision-making processes are consultative, inclusive and transparent.

Leadership capabilities are developed Staff are supported in their professional relationships with clients,

stakeholders and colleagues. Regional managers present opportunities for staff to develop and

demonstrate leadership capabilities in their roles.

Developmental Level

Leaders demonstrate vision Leaders assist staff to use Department of Human Services mission and

values to shape and deliver services. Management culture encourages open communication including

listening and constructive feedback and acknowledges good performance.

Behaviour of all staff reflects professional respect and understanding of colleagues.

Decisiveness and responsibility for actions are demonstrated by all staff.

Leaders support staff and teams in embracing change. Managers create and maintain an environment that inspires staff to

high levels of achievement.

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Organisational Learning Level

Leadership is continually developed Ongoing leadership development is planned and implemented. The organisational culture encourages innovation and risk taking. Culture of critical reflection is endorsed and actively encouraged. Succession planning encourages growth in leadership.

Leadership responsibility and accountability is demonstrated Leadership drives effective relationships and partnerships with

stakeholder organisations. Leaders contribute their expertise to the broader community. The region sustains local strategic alliances that improve outcomes for

clients. Decision making is impartial, disciplined and evidence-based. Shared vision shapes services in the region.

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Effective communication

Intent: All communication with clients, stakeholders and colleagues is clear, honest and respectful, and contains the right information for the purpose.

Principles: The business of Department of Human Services is best conducted in a clear, honest and respectful manner in relation to clients, stakeholders and colleagues.

Clients and stakeholders have a right to information communicated in the manner most suitable to them.

Essential Level

Systems support sound communication Communication guidelines assist staff to select communication tools

that maintain integrity and comply with legislation. All staff are offered information and training on departmental

communication systems, and understand their roles and responsibilities in effective internal and external communication.

Priority is given to the accessibility of information about service procedures, client rights and responsibilities and grievance procedures.

Appropriate technology is applied to communication Communication media are regularly reviewed for effectiveness. New communication methods/technologies are regularly explored.

Developmental Level

Communication strategies aid change Communication strategies are planned. The effectiveness of communication strategies is monitored and

evaluated. Feedback processes and tools are periodically reviewed to effectively

capture target groups’ needs, perceptions and opinions.

Communication processes promote Department of Human Services values

Communication guidelines are periodically reviewed for effectiveness and appropriateness.

All staff have access to key communication tools. The importance of using communication to promote Department of

Human Services values is recognised.

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Regional services are known and respected internally and externally All regional communication is easily accessible, clear and honest. Communication, and especially listening skills, are recognised as

critical to successful operations. All staff are expected to demonstrate a consistent level of

communication skill.

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Service integration

Intent: Plan, deliver and facilitate integrated services.

Principles: Service users are entitled to continuous and seamless service provision regardless of life stage and type of

support required. Service system integration leads to more effective and

efficient use of resources and better outcomes for clients. The Department of Human Services has a responsibility to

facilitate service integration in the human services sector.

Essential Level

Staff are aware of and understand key elements of the local human service system Staff have a working knowledge of relevant local departmental

services and networks and an understanding of the broader service system.

Regional resources and processes keep staff informed about services.

Service integration is promoted A collegial working environment supports integration. Authority is delegated to enable service integration. The advantages and principles of service integration are actively

communicated, promoted, demonstrated and acknowledged. Within a service integration system cross program information sharing

and joint training encourages working together.

Systems and structures are in place to enable service integration

Regional program plans are developed cooperatively across programs and at all levels.

Opportunities to promote service integration are taken up and promoted internally and externally, such as multi/trans disciplinary teams, co-location, joint training and staff exchange.

Protocols between programs and with other agencies establish roles and expectations of services in integrating client service response.

Client consent mechanisms are in place where required by legislation. Funding is used flexibly to meet client needs. Case planning and management facilitates sharing responsibility and

accountability for client outcomes. Clients have a choice of lead case manager where appropriate.

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Developmental Level

Responses to client needs are consistently integrated

Divisions are made aware of any structural obstacles to service integration.

Obstacles to service integration are identified and resolved. There is a planned regional response to complex clients. Advantages of service integration are understood Professional and respectful working relationships exist between

services. Managers model a cooperative, collegial and integrated style. Staff demonstrate joint case work with other services and in

community liaison. Service integration exists at all points in the continuum of service. Organisational citizenship is encouraged and valued. Regional managers promote staff exchange.


Regional culture reflects an integrated organisation The region functions as an integrated organisation for clients and

stakeholders. All staff exchange knowledge and expertise.

Support systems are aligned Joint budgeting for services occurs and integrated teams have

sufficient authority to commit funds. Data systems are integrated. Communication supports and promotes integration. Planning, development and review mechanisms are inclusive.

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Client outcomes

Intent: To promote client participation and inclusion, and to focus on the experience of the client.

Principles: Department of Human Services clients are empowered to understand the service system and participate in choices about the services they receive and how the services are provided.

Departmental services are configured to respond to client needs in the best way possible.

Essential Level

Clients are identified The region is informed of the nature of the community and the priority

needs. The region assesses, prioritises and responds to community/client

needs. Regional resources have been allocated to support the inclusion of

community/client views and needs into strategic and service planning. Planning processes are responsive to identified needs. Service delivery reflects identified client needs.

Client rights and expectations are respected Services are provided in a manner that respects the dignity and

privacy of clients The region operates according to key policies including:

1. client rights and responsibilities2. complaint/commendation/feedback/appeals processes3. access to information4. client participation5. client advocacy6. conflict resolution7. privacy policy.

The key policies are inclusive of diverse communities of interest. The region maintains consumer complaint management procedures

that respond to client expectations and that support the Risk Management Framework.

Regional client and stakeholder complaint trends and outcomes are reported to senior management.

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Services for clients are based on assessed need and available resources Departmental services are promoted in the community using the most

suitable media and language. Policies and procedures for delivering services are client-focused. Service allocation processes are based on established policies and

principles. Systems ensure informed consent is obtained and documented. Individual client service plans reflect legislative requirements and/or

practice guidelines. Services improve clients’ relationship with their local community

wherever possible Services have documented procedures for reporting and investigating

abuse and/or neglect of clients, and those procedures are followed.

Client outcomes achieved are measured and documented All services have targets for outputs and outcomes. Client outcomes are planned, measured, monitored, reviewed and

reported. Client outcomes are achieved in compliance with service standards,

legislation, policies and guidelines. Service outputs demonstrate services are responsive to changing client

needs. Services regularly assess their capacity to deliver the outputs that

produce appropriate client outcomes.

Services are prioritised to optimise client outcomes Demand management ensures highest priority clients receive services. The service is able to anticipate the impact of change on client

outcomes.

Developmental Level

Clients systematically participate in organisational service planning, review and evaluation Clients or their representatives participate in service planning, design

and inform policy development, including client feedback mechanisms. Training and/or support structures assist and empower client

participation. Access and equity principles are applied to client participation. Client advocacy is valued and supported. The region is responsive to clients’ expectations, feedback and needs. All services have a means of communicating their accountability to

clients.

Client feedback is sought consistently Mechanisms are in place to seek and measure client expectations and

satisfaction. The region regularly analyses and communicates trends in client

feedback, adverse events and complaints.

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Services are regularly evaluated to improve client outcomes Systems exist to monitor and evaluate client outcomes. Client outcome data contributes to service planning and service

improvement. Any increase in funds is targeted at improving client outcomes. Clients are satisfied with how services were provided.


A client-focused service system delivers good client outcomes The full range of services is in place to meet priority client needs. Services continually monitor and improve outcomes for their clients.

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Strategic management

Intent: Strategic management is vital to provide direction and focus for all activity within the region.

Principles: Departmental and divisional plans are central to the regional planning process.

Regional strategic planning processes must be inclusive and consultative.

Strategic management will be innovative and forward looking to drive performance improvement.

Essential Level

Strategic directions and the planning cycle are established Strategic planning aligns and uses the region’s resources and assets

with strategic directions. Staff, clients and stakeholders are engaged in establishing regional

strategic directions. The regional strategic plan develops regional strategic directions and

aligns with central program priorities, corporate planning and reporting cycles.

Continuous improvement objectives and activities are incorporated in the regional plans.

The regional strategic plan is communicated to staff. Client needs are the basis for service planning, monitoring, evaluation

and review.

Programs regularly monitor and report performance Legislation and standards that define practice and levels of service

delivery are understood and complied with. Regional service agreements are put into operation and monitored. Effort towards, and achievement of, milestones, targets and key

performance indicators is monitored and reported in all programs. Relevant data is accessible and collected to enable regular monitoring

and review of service outputs and client outcomes in each program. Regional managers participate in the negotiation, development and

monitoring of program budgets. Financial management responsibilities are met.

Regional performance is systematically monitored and reviewed The region’s strategic and operational plans are regularly reviewed and

revised as necessary. Service evaluation is built in to new service design. The region regularly evaluates achievement towards the objectives,

key performance indicators (KPIs), outputs and outcomes in terms of quantity, quality, timeliness and cost.

The region reposts the results of evaluation findings to management, staff, clients and stakeholders.

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Risk management is integrated into the strategic planning process Risk management policy and systems have been developed in

accordance with the Department of Human Services Risk Management Framework and are regularly reviewed.

A regional risk assessment is undertaken every six months in accordance with the Department’s Risk Management Framework.

Developmental Level

A systematic approach is taken to planning, monitoring and review

Plans and their implementation are regularly reviewed for effectiveness.

Impediments to meeting objectives are identified and addressed. A consistent regional service monitoring and review framework is in

place. Stakeholders are engaged in evaluation of regional performance.


The organisational culture facilitates strategic thinking Change management strategies are used to accommodate changes in

legislation, policy and/or practice. Strategic thinking and a focus on the achievement of regional

objectives, outputs and outcomes is engendered across all management levels.

Critical reflection processes are encouraged in the review and evaluation of plans and services.

Regional services incorporate learnings from the review and evaluation process.

The region can demonstrate resource planning for research and development and innovation.

Continuous improvement principles drive service planning and delivery.

Services are aligned with strategic directions Strategic plans are regularly achieved. Service outcomes achieved are validated by clients and stakeholders. The overall performance of the region is measured and benchmarked.

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Knowledge management

Intent: Through creating, capturing and maintaining information, the organisation is able to act in an informed way.

Principles: A culture of evidence-based learning enhances outcomes for clients.

Knowledge sharing makes a valuable contribution to effective service delivery.

Priority is placed on systems and resources that encourage the retention and use of accurate information.

Essential Level

Effective knowledge management systems are in place Staff have access to the training, data and information required to

make the best decisions about services to clients and program development.

Staff effectively and efficiently access and use data and information. Regional data collected has an explicit and relevant purpose, which is

regularly reviewed. Regional reporting systems effectively produce required date/reposts in

a regular and timely fashion. Legal requirements are met in storing, sharing and destroying

information. Succession planning retains and builds on knowledge Regional programs regularly audit the accuracy, timeliness and

completeness of information entered into client and information management databases.

Knowledge is shared, accessible and applied Managers facilitate dialogue and information sharing across staff/units. Managers have identified succession planning requirements for

inclusion in the regional Human Resources Plan. Staff have capacity to access up-to-date research in their area/s of

speciality. The region provides all staff with information on relevant initiatives and

activities taking place in the region and elsewhere. Data systems capture and present information and assist regional staff

to access and analyse data. Staff have the skills required for records keeping, data input and

analysis, protecting and managing information.

Developmental Level

Knowledge is used by regional staff to improve services Decisions are based on evidence and are transparent. Staff use data analysis to plan and deliver services. Systems are in place to enable reflective practice.

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Leaders encourage appropriate knowledge sharing among staff and with external services.

Knowledge gained is systematically transferred throughout the organisation.

The region fosters innovation and risk taking, including learning from successes and failures.

Staff are assisted to contribute their knowledge to all aspects of the working environment.

Succession planning retains and builds on knowledge.


The region values knowledge and builds the capability of staff Managers have a shared understanding of the breadth and

whereabouts of the region’s tacit and explicit knowledge. The learnings from service and project reviews contribute to practice

improvement. Ongoing partnerships with tertiary and other educational institutions

are achieved.

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Workforce

Intent: The workforce is the department’s most valuable resource.

Principles: Department of Human Services is a people-focused organisation that recognises and respects diversity and values individual difference.

Attraction and retention of a skilled workforce is a priority. Department of Human Services fosters and values

innovation and best practice, and rewards achievement. A family-friendly, flexible, balanced and safe workplace

encourages commitment and good performance.

Essential Level

Employee roles are defined Induction and orientation processes assist new staff to integrate into

the work environment. All staff have documented role definitions that make explicit their

accountabilities and responsibilities including legislative requirements. Linkages and dependencies with key business areas are clearly

identified. Role definitions are regularly reviewed. An organisational chart positions all staff within the organisation. All employees are aware of where to find their conditions of

employment.

Workplace facilities are appropriate The region facilitates physical access to all its locations. Staff have access to the equipment necessary for their work practice. The region has systems to ensure that equipment it uses complies with

the appropriate standards and regulations. Systems are in place to ensure the maintenance and hygiene of

clinical, office and other equipment. Systems are in place to ensure the maintenance of Departmental

facilities.

Employee performance and development is promoted Regional management will ensure that an appropriate environment,

structures, systems and supervision are in place to enable mentoring, professional development, direction and support for staff commensurate with their role.

Employees are expected and supported to make decisions and solve problems relating to their role.

All staff will have an annual work plan including a professional development component.

Regular performance reviews provide all staff with feedback on their performance.

Individual recognition and reward is encouraged. A regional training plan provides staff with opportunities to develop

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Acting opportunities, secondments and job swaps are used to develop employee competencies.

A system is in place to track training provided to staff.

HR management and planning processes are in place Regional human resource policies and procedures are met in the

recruitment, selection, appointment, induction and promotion of staff. Professional development is provided to enable employees to reach

their potential. Transparent processes are in place and can be accessed by staff for

resolving staff conflict. Disciplinary matters are actioned quickly and fairly.

Workplace safety is promoted An organisation-wide occupational health and safety policy is

implemented in compliance with the Occupational Health and Safety Act 1985.

Responsibilities for occupational health and safety are communicated to and known by staff.

Safe practice is recognised and encouraged. Regional analysis of critical incidents, Disease, Injury, Near Miss

Accidents (DINMAs) and sentinel events leads to practice improvement and physical improvements when needed.

Internal audits and reviews of workplace safety systems and procedures are conducted at regular intervals to gauge effectiveness.

Developmental Level

Staff development is ongoing Acting positions, secondments and other opportunities are used to

develop competencies. Research opportunities are encouraged and resources are provided for

staff to undertake research and publish/present findings at appropriate forums.

Staff are assisted to share knowledge and experience to improve services.

Minimum supervision standards are in place across all regional programs

Employee health and wellbeing is a priority

Employees are encouraged to adopt a healthy lifestyle, including balance between work and personal commitments.

The organisation is responsive to individual needs and has a commitment to flexible work practices to support employees.

Systemic safety issues are identified and addressed. Conflict resolution processes are used.

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A learning culture supports staff to meet their potential The region values and encourages ongoing formal and informal staff

development. HR planning and management promotes a safe, positive work

environment and interpersonal conduct. 360º feedback is in place at all levels.

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Partnerships

Intent: Maximise the benefits of working in partnership with Community Service Organisations (CSOs) and Health Service Organisations (HSOs) [‘the sector(s)’], other stakeholders, internal Department of Human Services Divisions and Programs and across other levels of government.

Principles: Responsibility for identifying and responding to community needs is shared across all sectors. The Department of Human Services, at all levels, has a significant role in developing and maintaining partnerships. The Department of Human Services is accountable for

resources provided for the benefit of all Victorians.

Essential Level

Partnering in local planning The region observes the principles of collaboration and consultation

outlined in the Draft Collaboration and Consultation Protocol. Community needs are identified in collaboration with the sector(s) and

key stakeholders. Strategic directions and program plans are communicated to the

sector(s) and key stakeholders. The relationship between the sector(s) and the region involves a

degree of reciprocity and recognition that all parties in the partnership contribute to service planning.

Best practice is identified with the sector(s). Community needs and service development issues are communicated

to Divisions.

Partnering in Direct Service Delivery A professional problem solving approach is used for client management

in collaboration with the sector(s). Quality improvements in client management occur in

collaboration with the sector(s). Feedback is sought from the sector(s) on implementation of

regulatory requirements for client management where relevant.

Service agreement administration Payments to the sector(s) are made in a timely and efficient manner. Service agreement enquiries and related issues from the sector(s) are

handled in a responsive and timely manner. Regular feedback on service agreement administration is sought from

the sector(s).

Monitoring and data collection The region fulfils its regulatory and statutory monitoring requirements.

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HSO's and CSO's funded by DHS are monitored to ensure appropriate governance arrangements, financial viability, service quality and performance.

Procedures and systems are in place in the region to support the monitoring processes detailed in the point above.

Regional data and information is shared with the sectors Regions work with Divisions to improve data collections and reduce

compliance burdens for CSO's/ HSO's wherever possible.

Further development of this category will take place following completion of components of the Partnerships Flagship Project.

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principles and categories framework [word, 181.5 kb]

Business

succession

organisational

human services

human services

service integration

occupational

human services

risk management