Foster Care Performance Audit Program · Web viewFoster Care Performance Audit ProgramPage 37 Page 36Foster Care Performance Audit Program Foster Care Performance Audit ProgramPage

Foster Care Performance Audit ProgramDepartment of Health and Human Services

Page 1 Foster Care Performance Audit Program

Foster Care Performance Audit Program Page ii

Foster Care Performance Audit ProgramDepartment of Health and Human Services

Page iii Foster Care Performance Audit Program

To receive this publication in an accessible format phone 9096 8768, using the National Relay Service 13 36 77 if required, or email the Compliance and Quality Unit <c&[email protected]>.

Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne.

© State of Victoria, Department of Health and Human Services, July 2018.

Where the term ‘Aboriginal’ is used it refers to both Aboriginal and Torres Strait Islander people.

ISBN 978-1-76069-493-7 (pdf/online/MS word)

Available at http://providers.dhhs.vic.gov.au/program-requirements-out-home-care-services

Contents

Foster Care Performance Audit Program Page iv

mailto:c%[email protected]

Introduction............................................................................................................................................... 1Background................................................................................................................................................. 1

Purpose...................................................................................................................................................... 1

Program requirements for home-based care ........................................................................................2

Foster care performance audits..............................................................................................................3Rating audit findings................................................................................................................................... 3

Roles and responsibilities....................................................................................................................... 4Foster care providers.................................................................................................................................. 4

Operational Performance and Quality.........................................................................................................4

Authorised officers...................................................................................................................................... 4

Department divisional staff.......................................................................................................................... 4

Audit methodology and scope................................................................................................................5Methodology............................................................................................................................................... 5

Sample size................................................................................................................................................ 5

Duration of audits........................................................................................................................................ 6

Historical/long-term carers.......................................................................................................................... 6

Report......................................................................................................................................................... 6

Review requests......................................................................................................................................... 7

Action plan.................................................................................................................................................. 7

Follow-up audits.......................................................................................................................................... 7

Foster care performance audit criteria and evidence requirements....................................................8Carer requirements..................................................................................................................................... 8

Client requirements................................................................................................................................... 11

Staff requirements.................................................................................................................................... 12

Frequently asked questions.................................................................................................................. 13

Appendix 1: Carer audit tool.................................................................................................................. 14

Appendix 2: Client file audit tool...........................................................................................................20

Appendix 3: Staff file audit tool.............................................................................................................24

Appendix 4: Management questions....................................................................................................27

Appendix 5: Report template................................................................................................................. 29Pre-employment....................................................................................................................................... 32

Training and supervision of staff...............................................................................................................33

Incident reporting...................................................................................................................................... 33

Appendix 6: Rating system.................................................................................................................... 38

Page v Foster Care Performance Audit Program

Introduction

BackgroundIn April 2017 the department’s Compliance and Quality Unit began auditing funded community service organisations (CSOs) that manage foster care arrangements against the Program requirements for home-based care in Victoria: Interim revised edition April 2014 (‘the program requirements’).

The scope of these audits was determined by prioritising program requirements according to the level of risk that CSO noncompliance would pose. This risk relates to an actual or potential risk to the health, safety or wellbeing of the young person placed in foster care.

Foster care performance audits occur at offices operated by CSOs and involve reviewing carer and client files to check compliance with program requirements. Carer file reviews assess that the required steps for safety screening, training and approval of foster carers has taken place in line with guidance outlined in the program requirements. Client file reviews assess that the program’s care requirements are met.

The first round of foster care audits has now been completed with all funded organisations.

A review of the Foster Care Performance Audit Program was completed in early 2018 in consultation with sector representatives to identify areas for improvements. Based on this feedback, the foster care audit criteria and methodology have been refined.

PurposeThe purpose of this document is to describe the process by which the second round of foster care performance audits will be undertaken.

In conducting foster care performance audits, the Operational, Performance and Quality Branch aims to improve the outcomes for children and young people in foster care. The audits will do this by:

• identifying organisations that do not comply with the program requirements• moving organisations beyond minimum compliance towards continuous improvement.

To ensure these aims are achieved, the audit team will demonstrate a commitment to carrying out the compliance audits in a transparent, consultative and consistent way.


Program requirements for home-based care

The program requirements provide a common benchmark for funded organisations delivering home-based care services in Victoria. They help to ensure Department of Health and Human Services and CSO staff apply a consistent approach to high-quality service delivery.

The term ‘home-based care’ in the context of these requirements refers to the placement support components of the kinship care model (both case contracted and placement establishment support arrangements) and all forms of foster care, including therapeutic foster care. For a more detailed description of home-based care types please refer to the current Department of Health and Human Services Policy and funding plan <https://dhhs.vic.gov.au/policy-and-funding-guide-volume-3-chapter-4>.

The Children, Youth and Families Act 2005 places the best interests of the child as the central consideration to inform all other processes. The child protection, placement and family services system must maintain a consistent focus on achieving three broad aims for every child:

• to ensure their safety• to ensure their healthy development• to achieve stability.

Achieving these aims may involve a range of interventions including home-based care placements for children who are unable to live in the care of their immediate family.

The department funds a range of community-based child and family services to promote the safety, stability and development of children and their families, and to build the capacity and resilience for children, families and communities.

If home-based care services are to contribute successfully towards the three aims outlined above, they must operate to an appropriate standard. While these program requirements provide the essential prerequisites for a quality service to children in home-based care throughout Victoria, they also form the basis for ongoing monitoring, review and continual improvement.

As part of funding and service agreements with the department, these program requirements clearly document essential day-to-day prerequisites for providing a quality service for children in home-based care. CSOs must adopt these requirements in conjunction with the department’s Human Service Standards and their own operations and procedural documentation.

Foster Care Performance Audit Program Page 2

https://dhhs.vic.gov.au/policy-and-funding-guide-volume-3-chapter-4

Foster care performance audits

The department operates a program of compliance and quality audits that focuses on client safety and the wellbeing of children in out-of-home care. Supplementing the existing accreditation model, the foster care audits are conducted against the program requirements. Staff from the Compliance and Quality Unit within the Operational, Performance and Quality Branch conduct the audits.

The audits support the department’s focus on improving outcomes for children in out-of-home care through emphasising the safety and wellbeing of clients and ensuring the necessary policies and processes are implemented. With the implementation of these, optimal conditions will be in place to enhance client outcomes.

The audits use a consistent methodology to review practice and include:

• document/file reviews• interviews with management and staff to confirm program requirements are met.

Any documentation obtained or copied will be managed in line with the department’s confidentiality procedures.

Any identified risk to clients will be brought to the attention of the organisation for their immediate response and promptly reported to the Compliance and Quality Unit manager.

Following the audit, the department will provide the organisation with a report of the findings. The report will detail evidence assessed during the audit and identify any areas of noncompliance against the program requirements. Where noncompliance is identified, the organisation will be asked to submit a plan detailing corrective actions.

Rating audit findingsAudit findings against each criterion are rated as ‘compliant’ (C) ‘noncompliant’ (NC) or ‘not applicable’ (NA) against the program requirements set out in the carer, client and staff file audit tools (Appendices 1–3).

Where a criterion is rated ‘noncompliant’ and the CSO believes it can provide evidence to support compliance that is not immediately accessible, the organisation can submit additional evidence up until three business days after the audit. However, it is important to note that any additional evidence must have existed at the time of the audit. That is, evidence developed post audit to address noncompliance cannot be accepted and will not result in any change to the initial findings/ratings.

All CSOs start the audit with the premise of 100 per cent compliance. Where noncompliance is identified, points are deducted. The total score out of 100 is converted to a percentage and awarded a rating (levels 1–4). Where a CSO meets all program requirements they will be rated as 100 per cent compliant. The details of the rating system are contained in Appendix 6.


Roles and responsibilities

Foster care providersThe organisation is responsible for delivering service to clients in line with the program requirements and Human Services Standards. CSOs must prepare and maintain documentation that will serve as evidence of their compliance with these obligations. Organisations must also give the department and its auditors access to all information reasonably required to confirm compliance with the program requirements.

After receiving the department’s report, the organisation must develop an action plan to address all areas of noncompliance. The action plan must be submitted to the Compliance and Quality Unit, Operational Performance and Quality Branch within two weeks of receiving the final report.

Operational Performance and QualityOperational, Performance and Quality Branch within the Children, Families, Disability and Operations Division is responsible for conducting the audits. The branch’s responsibilities include:

• drafting the audit report• distributing the final report to organisations and divisional staff• distributing the action plan to divisional staff.

The audit report and action plan are also uploaded to the department’s Service Agreement Management System (SAMS).

Authorised officersThe auditors are authorised delegates of the Secretary to the department under the Children Youth and Families Act (s. 17) and Authorised Officers (s. 194).

As delegates of the Secretary, the Act stipulates that the auditors may at any time visit any community service:

‘(a) to make any examinations or inspections that appear to be necessary regarding the management of the community service; and

(b) to inspect any part of the premises of that community service; and

(c) to see any child who is receiving services from the community service; and

(d) to make inquiries relating to the care of children in that community service; and

(e) to inspect any document or record relating to the child or that is required to be kept under this Act or the regulations’.

Department divisional staffThe final report is distributed to the CSO, the Divisional Deputy Secretary and other applicable divisional staff. Divisional staff may choose to support a CSO to implement their action plan; however, the responsibility to develop and implement the plan remains with the CSO.


Audit methodology and scope

MethodologyThe foster care audits involve two senior compliance officers attending the CSO’s head/local/regional office to conduct an audit against the program requirements. This includes examining key documentation such as:

• a sample of carer, client and staff files (hard copy or electronic)• Step by Step Victoria (SxSV) and Shared Stories Shared Lives Victoria (SSSLV) staff training records• key policies and procedures• information packages given to new carers• induction and orientation materials given to new staff.

In addition to reviewing documented evidence, staff who are responsible for carers and clients in placement will be interviewed about any queries that arise from the file audit.

Auditors will discuss findings with the CSO as they emerge and brief management on overall interim findings at an exit meeting to conclude the audit.

Sample sizeThe sample size has been slightly amended from the first round of audits. The audit sampling methodology will continue to include active carers and will exclude carers who only provide respite care.

The sampling methodology for foster care audits is applied to each divisional site/office audited. The ‘carer file sample’ refers to carer households and is calculated as follows:

• Where the CSO has 0–30 carers, three carer files will be sampled.• Where the CSO has 30–80 carers, five carer files will be sampled.• Where the CSO has 80–150 carers, seven carer files will be sampled.• Where the CSO has more than 150 carers, eight to 10 carer files will be sampled.

The files of all children/young people currently placed with the carers in the sample will be audited.

The CSO will be asked to submit a register of active carers, their accreditation date and the names and date of birth of children currently placed with them before the audit begins. The CSO will also be asked to indicate where a carer has transferred to them from another CSO.

The audit sample will be selected from the information submitted and generally includes a selection of longer term as well as more recent carers. Where available, at least one carer transferred from another CSO will be included in the sample. The review will include an assessment of the CSO’s compliance with key departmental policy and guidelines (for example, the Client Incident Management System (CIMS)).

The second round of foster care audits will also include a sample of staff files – that is, the files of the case worker or case manager currently involved with the carer/clients selected for audit. The program requirement areas to be audited will include recruitment and safety screening processes (police checks and Working with Children Checks (WWCC)), reference checks, orientation and induction, supervision and access to training. The CSO will be asked to indicate the staff member involved with each client/carer when submitting the active carer register.

The CSO will be advised of the sample prior to the audit to ensure access to the nominated records during the audit.


Duration of auditsAudit duration is determined based on sample size and the number of allocated auditors as follows.

• Three carer files1 with two auditors allocated takes up to one and a half days.• Five carer files2 with two auditors allocated takes up to two days.• Seven carer files3 with two auditors allocated takes up to three days.• Eight to 10 carer files4 with two auditors allocated takes up to four days.

Note: In some circumstances three auditors may conduct the audit due to time constraints or identified complexity with documentation.

Historical/long-term carersBased on sector feedback the audit criteria relating to long-term carers (carers who have been accredited as foster carers for more than five years) has been refined. For long-term carers the following criteria will be used:

• evidence of regular supervision and annual reviews dating back three years only• currency of safety checks (such as police checks, WWCC, disqualified carer checks, carer register)

over the past three years only • evidence of completing SSSLV training and SxSV.

Note: Requirements for carers to complete SSSLV training and undergo an SxSV assessment were mandated in 2006. For long-term carers, where evidence cannot be provided of the assessment and training being completed at the time of approval, the auditors will look for evidence that the CSO has since identified this issue and provided the necessary training/information to the relevant carers.

ReportThe audit report timeframes are outlined below.

Audit stage Timeframe

Draft report sent to CSO 10 business days following the audit

CSO right-of-reply period 10 business days from receiving the draft report

Final reportDraft report finalised and sent to the CSOA copy is also sent to the department

CSO appeals audit finding

Within 10 business days from receiving the draft reportWhere appeals are made and accepted, the report findings will be amended and then finalised. Where additional evidence does not satisfy the program requirement, the decision will be communicated to the CSO and the report finalised.Note: Any additional evidence submitted must have existed at the time of the audit. That is, evidence developed post audit to address identified noncompliance cannot be accepted and will not result in any change to the initial findings/ratings

Action plan submitted to the department

10 business days from receiving the final report or the department’s decision regarding a CSO appeal

1 May be up to six carers if three carer couples are selected.2 May be up to 10 carers if five carer couples are selected. 3 May be up to 14 carers if seven carer couples are selected.4 May be up to 20 carers if 10 carer couples are selected.


Review requestsA review is a reassessment of the rating findings for one or more areas audited within the audit report.

CSOs may request a review of an audit finding within 10 days of receiving the draft audit report. The request for a review must be on factual grounds rather than opinion. Evidence must be submitted to support a review request.

If the CSO does not submit a request for a review of findings, the report will be finalised.

Action planWhere noncompliances are identified, the CSO must submit an action plan addressing the outstanding issues. While there is no set proforma for action plans, the CSO should, at a minimum, include the noncompliances identified, actions to address these and dates by which actions will be completed. Actions should match the noncompliance and focus on addressing the issue at the systems level.

Follow-up auditsDepending on the audit findings, follow-up audits may be required. Follow-up audits look at the organisation’s progress in implementing the action plan to address noncompliances. In some cases, where high levels of noncompliance have been identified, the follow-up audit process will differ and may focus on high-risk areas across a larger sample. In such cases, the follow-up audit process will be communicated to the CSO prior to the audit.

The evidence the CSO cites in its action plan will be reviewed at the follow-up audit to assess that the identified gaps have been addressed and that the necessary system changes have been made to prevent the noncompliance reoccurring.

CSOs should have all evidence cited in their action plan available to the auditors when they arrive. A ‘compliant’ rating cannot be achieved at follow-up audit where a planned action is incomplete or the action taken cannot be evidenced.


Foster care performance audit criteria and evidence requirements

The foster care audit criteria prioritise program requirements where noncompliance could pose an actual or potential risk to the health, safety or wellbeing of a young person in care. The audit criteria and evidence requirements are included in the tables below. Audit tools have been developed to ensure a consistent audit approach. These are attached at the end of this document.

Carer requirementsProgram requirement Evidence requirements

3.2.5 Pre-assessment of carers

• Disqualified carer check completed prior to proceeding with the assessment of applicant (for example, Oracle print out)

• New police record check upon application to the CSO and three-year renewals completed

• Police checks for household members over the age of 18 years and three-year renewals completed

• Disclosable offences are reported/managed in line with departmental policy. (Where a category A offence has occurred, evidence of written approval is on file from the Director of Professional Practice and the Division Deputy Secretary. In all other cases a process of determining the applicant’s suitability for employment and discussion with the relevant departmental Area Director is clearly documented.)

• Up-to-date Volunteer (V) WWCC for the carer and adult members of the household who will have a parenting role

• Referee checks (3)

Historical carers/long-term carers: Where evidence dating back to the time of accreditation cannot be provided for these carers, the auditors will seek evidence the CSO has since identified and addressed the issue. For example, all carer checks are in place and current.

The auditors will also seek evidence that the CSO has a clear process in place to ensure all current carers have the required pre-assessment checks.

3.2.5 International police checks

• A documented process is in place to identify where a carer or household member over the age of 18 years has lived overseas for 12 months or more in the past 10 years.

• Where this is confirmed, an international police check is conducted.

3.2.2/3.2.4 Step by Step Victoria assessment

• SxSV assessment completed

Program requirement Evidence requirements

conducted by a qualified assessor

• SxSV assessor training certificate

Note: Where a training certificate cannot be provided for a staff member who has left the organisation, the auditors will look for evidence of a process for ensuring current staff undertaking SxSV assessments are qualified.

3.3.1, 3.3.2, 3.3.4, 3.3.5 Shared Stories Shared Lives (SSSLV) or Our Carers for Our Kids training

• SSSLV or Our Carers for Our Kids (for potential carers of Aboriginal children) training is fully completed by carers prior to panel accreditation – carer certificates

• SSSLV facilitators’ training certificates.

Note: Where a facilitator’s training certificate cannot be provided for a staff member who has left the organisation, the auditors will look for evidence of a process for ensuring current staff conducting the training are qualified.

3.2.5 Reference checks

Three reference checks conducted with referees who:• have known the applicant for a minimum of two years

• were still in contact with the applicant at the time

• are not directly related

• have observed the applicant’s interaction with children.

3.4 Foster care panels

• Documented evidence in panel minutes of the panel’s decisions regarding the foster carer’s accreditation for:- the type of care (for example, respite or general pool)

- numbers, ages and genders of the children

- any special conditions attached to the approval

- priority training needs identified

- level and type of support to be provided by the CSO or other organisations

- the review process.

Where panel minutes indicate ‘generic’ accreditation for carers – for example, carers are accredited to provide all care types, to all ages 0–18, both male and female – a rationale supporting ‘generic’ accreditation must be clearly documented.

• Foster carer approval panel report (minutes) signed by panel chairperson.

3.4.6 Carer register Evidence of the foster carer being registered on the carer register within 14 days of approval (Oracle



record)

3.4.8 Code of conduct Evidence of a signed code of conduct signed by the carer and stored on the carer’s file. Where there are two approved carers in the household both signatures should be evidenced.

3.5.3/3.6.3 Supervision Evidence of minimum monthly supervision while a child is placed with a carer. It is expected that supervision is regularly conducted face to face within the carer’s home.

3.3.9 Culturally appropriate caring

Evidence that information and training on culturally appropriate caring has been provided to carers where an Aboriginal child is placed with a non-Aboriginal carer

3.5.4 Annual review

Annual reviews are documented and include:• summary of placements during the past 12 months

• annual home and environment check

• medical check/self-report

• personal readiness and capacity to continue caring

• ability to work effectively as part of a care team

• ability to promote the positive and healthy development of children

• ability to provide a safe environment free from abuse.

The outcome of the annual review is documented including any changes to carer accreditation. The changes are approved by the foster care panel.

Incident reporting/CIMS All relevant details from any critical incident management issue are clearly documented in the carer’s file. This will include the outcomes of any investigations/reviews and planned actions.Case reviews (where applicable):

• The case review was initiated within 72 hours of receiving confirmation of the appropriateness of the case review method from the divisional office.

• A documented case review plan has been endorsed by the senior delegate.

• The review is completed within 21 days.

• There is clear implementation and monitoring of planned actions.A completed carer development plan is in place (where applicable):

• Planned actions are implemented and monitored.


• The carer development plan has been reviewed and amended.

• The outcomes of any planned actions are recorded in the carer’s file.Note: If auditors identify incidents in client/carer files or other documentation that have not been appropriately recorded through CIMS, these will be reported to the department’s Quality and Oversight Unit for their consideration and follow up (as required). This may also affect an organisation’s compliance rating in relation to CIMS reporting.

Client requirementsProgram requirement Evidence requirements

2.1 Case planning, care and placement planning and review

• Essential Information Record (EIR) commenced within two weeks of placement commencing. The EIR is kept up to date.

• Care and Placement Plan OR 15+ Care and Transition plan (as applicable) developed within two weeks of the commencement of the placement.

• Care and Placement Plan OR 15+ Care and Transition plan (as applicable) is reviewed at least every six months.

• Assessment and Progress Record completed for clients who have been in care for six months or longer and at least annually thereafter. For clients under five years, this record must be completed every six months.

1.2 Health

• Clients’ medical health needs (including general medical, dental, optical, auditory) are identified by a medical practitioner as soon as practical or within one month of entering care for the first time (or for the first time during the current period of involvement).

• Where a client is entering from another placement and it cannot be confirmed that a health assessment has occurred, another assessment will be required.

1.2.4 Annual health check Evidence of annual medical and dental checks on file.

1.2.5 Medical history/alerts Relevant medical information on file such as medical diagnoses, health treatments, ongoing and prescribed medication administration, specialist assessments and immunisations received.

3.5.3/3.6.3 Supervision Evidence of minimum monthly meetings between the client and the CSO worker. These meetings occur in private, not in the company of the carer (consideration given to the child’s age and stage of development).

Incident reporting/CIMS All details from a critical management issue are clearly documented in the client’s file. There is evidence



that the CSO has taken action to support the client’s wellbeing and safety.Documentation detailing actions taken and planned to support the client (immediate and ongoing) is attached to the client’s file.

Staff requirementsProgram requirement Evidence requirements

4.1 Pre-employment

• Initial police check dated within the past three years upon application to the CSO. Three-year renewals completed thereafter.

• Disclosable offences are reported/managed in line with departmental policy. (Where a category A offence has occurred, evidence of written approval is on file from the Director of Professional Practice and the Division Deputy Secretary. In all other cases a process of determining the applicant’s suitability for employment and discussion with the relevant departmental Area Director is clearly documented.)

• Current Employee (E) WWCC

• Current driver’s licence where staff transport children/young people

• Minimum of two reference checks completed

4.1.2 International police check• A documented process is in place to identify where a carer has resided overseas for 12 months or more

in the past 10 years.• Where this is confirmed, an international police check is conducted.

4.1.1/4.1.2 Skills and attributesEvidence on file of:

• the interview process conducted (for example, interview notes)• qualifications and work history (for example, résumé).

4.3.1 Orientation and Induction Evidence of orientation and induction process conducted.

4.4.1 Supervision Supervision occurs as per the CSO’s policy.

4.4.4 Training and professional development

Staff are provided with regular training and professional development opportunities relevant to their role (for example, training completed noted on file, CSO staff training calendar)

4.4.8 Staff performance The CSO will have policies and procedures to assess the performance of staff and to address performance issues (for example, a staff appraisal process). CSO practice will match their policies and procedures.

Incident reporting/CIMS Evidence of staff being provided with information about the CIMS process at induction (for example, induction checklist, pack, training).


Frequently asked questions

Do we need to print out any information for the audit?

There is no expectation on CSOs to print any documents solely for the purpose of the foster care audit. Auditors will access electronic records as required. However, the onus is on the CSO to have a staff member available to navigate the electronic records as auditors do not have consent to access CRISSP independently.

Auditors will request copies of the CSO’s policies concerning safety screening/police checks, managing incident reporting/CIMS and placement matching. However, the CSO has the option to email these to the department.

Do all program staff need to be on standby/available to the auditors?

No. It is at the CSO’s discretion to determine which staff should be available to respond to the auditors’ queries.

Are group staff interviews held?

No. The auditors do ask a number of questions at the end of the audit concerning safety screening/police checks, managing incident reporting/CIMS and placement matching, where these questions haven’t been covered during the audit.

It is at the CSO’s discretion to nominate management/staff to respond to these questions.

What if we have evidence to demonstrate compliance but can’t access/provide it at the time of the audit?

Additional relevant evidence will be accepted for consideration post audit provided it is forwarded to the department by close of business, no later than three business days after the audit. Auditors will reiterate this while on site.

While it is a CSO’s prerogative to submit additional relevant evidence post audit, where it involves considerable effort, for example, retrieving records from archives, the CSO should be alerted where submission of the additional information will not alter a noncompliant rating. For example, there may be multiple instances of the noncompliance relating to the majority of the audit sample and the information to be provided/retrieved may not address all incidences.

Who should attend the entry and exit meetings?

All management and staff are welcome to attend the entry and exit meetings. Attendance is left to the discretion of the CSO. However, auditors will ensure that, at a minimum, they have debriefed with the CSO’s nominated audit contacts regarding the findings before leaving the site.

Appendix 1: Carer audit tool

This tool has been adapted from the DHHS Human Services Standards: Staff, volunteer and carer file audit tool (November 2016). It has been amended here for information purposes only and is not intended to be used by auditors.

CSO name:

Audit site:

Date:

Carer 1 name:

Reference code:

Carer address:

Date started with CSO:

Number of children in care:

Child 1 name and age:5

Child 2 name and age:

Carer 2 name:

Reference code:

Carer address:


Number of children in care:

5 Check age(s) of children against accreditation status 3.4.4. Any significant change to foster carer accreditation status needs to be approved by a foster carer panel (3.5.9/3.5.10).

Foster Care Performance Audit Program 15

Child 1 name and age:6

Child 2 name and age:

Pre-assessment of carer

Program requirement

Criterion Carer 1 Carer 2

3.2.57 Disqualified carer check prior to proceeding with assessment of applicant

Yes NoDate:

Yes NoDate:

New police record check upon application to the CSO Yes NoExpiry date:

Yes NoExpiry date:

Three-year renewal completed Yes No NAExpiry date:

Yes No NAExpiry date:

Disclosable offence8 Yes NoNumber:

Yes NoNumber:

Written sign-off from the department to proceed Yes No NADate:

Yes No NADate:

Police record checks for household members aged 18 years or older who live or regularly stay overnight9

Yes No NAExpiry date:Expiry date:Expiry date:


6 Check age(s) of children against accreditation status 3.4.4. Any significant change to foster carer accreditation status needs to be approved by a foster carer panel (3.5.9/3.5.10).7 Aligns with elements of Child Safe Standard 4.8 If a person’s national police history includes a Category A offence, the individual should not be engaged in any client contact role without the written approval of the Director of the Office of Professional Practice and the Divisional Deputy Secretary. In all other cases, the relevant manager in the funded/registered organisation will manage the assessment process to determine the applicant's suitability for employment or placement (refer to Appendix 5: Safety screening assessment instructions and form) and discussion occurs with the relevant departmental Area Director.9 ‘Regularly’ will include any more frequently than monthly, will be of a normal or usual pattern, will be part of a routine, or for more than two nights in a row. This is a guide and CSOs are to make their own assessments on a case-by-case basis as to what is appropriate and what ‘regularly’ means for a particular person or placement.

Program requirement


International police record check10

International checks for carer and household members 18 years or older

Yes No NADate:Date:Date:

Yes No NADate:Date:Date:

‘Volunteer (V)’ Working with Children CheckAn up-to-date WWCC for the carer and any adult member of the household who will have a parenting role with the child



3.2.2/3.2.4 Step by Step Victorian assessment conducted by a qualified SxSV assessor

Yes NoDate of accreditation:


3.2.5 Reference checks × 311 Yes No Yes No

3.3.1, 3.3.2, 3.3.4, 3.3.5

Pre-service training has been completed prior to panel accreditation: [Empty cell] [Empty cell]

Shared Stories Shared Lives Victoria (SSSLV) fully completed by applicant and any others required12

Yes NoDate:

Yes NoDate:

SSSLV was delivered by a qualified SSSLV trainer Yes NoDate of accreditation:


3.3.9/3.3.10 Training in culturally appropriate caring, as applicable, ASAP following placement of the child with a non-Aboriginal carer

Yes No NA Yes No NA

10 required for applicants and members of the household who are 18 and over who have spent 12 months or more overseas during the past 10 years – done by the relevant overseas police force11 Direct contact must be made (face to face or telephone) with three responsible people to act as referees to the applicant. Referees must have known the applicant for a minimum of two years, must be still in contact with the applicant, must not be directly related and must have observed the applicants interaction with children12 Must be completed by the carer and their adult partners in cohabiting relationships who would assume an ongoing parental and supervisory function with children in the house, before a child is placed with the carer. Our Carers for Our Kids is the Vic training package used by Aboriginal organisations training potential foster carers for Aboriginal children.


Program requirement


3.4.4 The approval panel final report (minutes) specify accreditation status for:

[Empty cell] [Empty cell]

• the type of care Yes No Yes No

• numbers, ages and genders of children Yes No Yes No

• any special conditions attached to the approval Yes No NA Yes No NA

• priority training needs identified Yes No NA Yes No NA

• level and type of support to be provided by the CSO or other organisations

Yes No Yes No

• the review process Yes No Yes No

3.4.5 Foster carer accreditation approved by panel and report (minutes) signed by panel chairperson13

Yes NoDate of carer approval:

Yes NoDate of carer approval:

3.4.6 The CSO has registered the foster carer on the carer register within 14 days of approval

Yes NoDate registered by CSO:

Yes NoDate registered by CSO:

3.4.8 A signed copy of a code of conduct for approved carers Yes No Yes No

3.5.3/3.6.3 Evidence of supervision complying with identified need and minimum requirement of once per month14

Yes NoComments:

Yes NoComments:

3.5.4 Annual review(s) undertaken Yes NoDate(s):

Yes NoDate(s):

13 An applicant is only considered approved and accredited after the foster care panel chairperson signs a final report. 14 Monthly requirement while a child is placed with the carer. Review at least last 12 months records. Any gaps should be noted in the comments section.

Program requirement


3.5.5 Summary of placements during the past 12 months15 Yes No Yes No

3.5.6/3.5.7 Current police check (to be updated every three years) Yes No NAExpiry date:


For relevant members of household Yes No NAExpiry date:


3.5.5/3.5.11 Current Working With Children Check Yes NoExpiry date:

Yes NoExpiry date:

For relevant members of household Yes No NAExpiry date:


3.5.1 Annual Home and environment check16 Yes NoDate(s):

Yes NoDate(s):

3.5.5 Medical check17 Yes No Yes No

3.5.5 Personal readiness and capacity to continue caring Yes No Yes No

Ability to work effectively as part of a care team Yes No Yes No

Ability to promote the positive and healthy development of children Yes No Yes No

Ability to provide a safe environment free from abuse Yes No Yes No

3.5.9 Review resulted in change to carer accreditation status Yes No Yes No

3.5.10 Any significant change to carer accreditation status is approved by a foster care panel

Yes No NA Yes No NA

3.5.12 The CSO has removed the foster carer from the carer register within 14 days of revocation of approval/ceasing to provide

Yes No NA Yes No NA

15 If a placement is requested outside of the carer’s accreditation status, a preliminary agreement must be reached between the CSO program manager and the department placement coordination manager prior to the placement occurring. Further, the CSO will conduct a formal assessment and review of the carer’s competency and accreditation status within 14 days. 16 A home and environment check must be conducted as part of the initial SxSV assessment, at the time of annual review and following each carer change of address (PR 352). 17 Policy advice via West Division Deputy Secretary that the annual medical check for foster carers can be through a self-report.


Program requirement


foster care with the CSO18

2.10.8 All relevant details from any critical incident management issue are clearly documented in the carer’s file. This will include the outcomes of any investigations/reviews and planned actions.

Yes No NAComments:

Yes No NAComments:

Has the carer been the subject of a case reviews? Yes No NA Yes No NA

The case review was initiated within 72 hours?19 Yes No NA Yes No NA

A documented case review plan has been endorsed by the senior delegate?20

Yes No NA Yes No NA

The review is completed within 21 days? Yes No NA Yes No NA

Case review report on carer file? Yes No NA Yes No NA

Has Child Protection been notified of outcomes? Yes No NA Yes No NA

There is clear implementation and monitoring of planned actions? Yes No NA Yes No NA

Does the carer have a carer development plan? Yes No NAComments:

Yes No NAComments:

18 CSOs providing foster care must inform the department of the revocation of a carer’s approval by removing them from the carer register within 14 days of the carer ceasing to provide foster care with their organisation. 19 After receiving confirmation of appropriateness of case review method from the divisional office, the CSO has 72 hours to initiate the case review.20 A senior delegate is a nominated person within the CSO who has responsibility for signing off on incident reports and decision. This should be a senior representative for the organisation.

Appendix 2: Client file audit tool

This audit tool is based on Program requirements for home-based care in Victoria: Interim revised edition, April 2014. It has been amended here for information purposes only and is not intended to be used by auditors.

Client 1 name:

Reference code:

Carer name:

Date of birth:

CSO intake date:

Case managed by:

Court order:

Client 2 name:

Reference code:

Carer name:

Date of birth:

CSO intake date:

Case managed by:

Court order:

Care and placement planning and review

Program requirement

Criterion Client 1 Client 2

2.9.421 Referral document Date: Date:


Program requirement


2.1.2, 2.1.7, 2.1.11, 2.922

Essential Information Record23 Yes No NA Overdue

Date(s):

Yes No NA Overdue

Date(s):

2.1.7, 2.1.8, 2.1.9,24 2.1.11

Care and Placement Plan25 Yes No NA Overdue

Date(s):

Yes No NA Overdue

Date(s):

2.1.7, 2.1.8, 2.1.9, 2.1.11,

15+ Care and Transition Plan Yes No NA Overdue

Date(s):

Yes No NA Overdue

Date(s):

2.1.10, 2.1.11 Assessment and Progress Record26 Yes No NA Overdue

Date(s):

Yes No NA Overdue

Date(s):

Client care requirements

Program requirement


1.2.2/1.2.3 Children entering HBC for the first time (or for the first time during the current period of involvement) will have

MedicalYes No NA

MedicalYes No NA Overdue

21 CSOs will accept the referral and create the placement in CRISSP within one working day of the placement commencing. 22 CSOs providing foster care will use CRISSP to store and maintain client records. CSOs undertaking contracted case management will use CRIS as the primary system to store and maintain client records. 23 Within two weeks of a placement commencing, CSOs will begin recording in the LAC EIR. The EIR will be kept up to date by the CSO as part of the ongoing information gathering, care planning and review processes undertaken with the care team. 24 CSOs will ensure that each client’s C&PP or C&TP is reviewed at least every six months. 25 As soon as possible, and within two weeks of a placement beginning, CSOs will develop a C&PP (for a child < 15 years) or 15+ C&TP (for a young person aged 15 years or older) in conjunction with the care team.26 An A&PR must be completed for every child who has been in care for six months or longer and at least annually thereafter. For children aged under five years, this record must be completed every six months.

Program requirement


their medical health needs27 identified by a medical practitioner ASAP or within one month of entering care.

OverdueDate(s):

Date(s):

DentalYes No NA

OverdueDate(s):

DentalYes No NA OverdueDate(s):

If a child is entering from another placement, the CSO confirms the last date on which the child received a health assessment and arranges any assessment that may be required.

OpticalYes No NA

OverdueDate(s):

OpticalYes No NA OverdueDate(s):

AuditoryYes No NA

OverdueDate(s):

AuditoryYes No NA OverdueDate(s):

1.2.4 Annual health check – medical Yes No NADate(s):

Yes No NADate(s):

Annual health check – dental Yes No NADate(s):

Yes No NADate(s):

1.2.5 Medical history/alerts such as records of any health treatments, ongoing and prescribed medication administration, and any specialist assessments and immunisations received

Yes No NA Yes No NA

27 Includes general medical dental, optical, auditory


Supervision of children

Program requirement


2.5.3 Evidence of monthly28 meetings between the client and the CSO worker or case manager29

Yes No Yes No

Evidence that meetings occur in private, not in the company of the carer, to discuss their placement and any other issues that may exist30

Yes No NA Yes No NA

Incident reporting

Program requirement


2.5.3 All details from a critical management issue are clearly documented in the client’s file.

Yes No Yes No

28 Obtain evidence for the last 12 months, where applicable.29 Any departure from meeting monthly should be agreed in the client’s case plan. 30 With consideration given to the child’s age and stage of development.

Appendix 3: Staff file audit tool

This tool has been adapted from DHHS Human Services Standards: Staff, volunteer and carer file audit tool (November 2016). It has been amended here for information purposes only and is not intended to be used by auditors.

CSO name:

Audit site:

Date:

Staff member 1 name:

Reference code:

Current position:


Staff member 2 name:

Reference code:

Current position:


Pre-employment

Program requirement

Criterion Staff member 1 Staff member 2

4.1 Initial police check dated within the past three years upon application to the CSO

Yes No Yes No


Program requirement


Expiry date: Expiry date:

Three-year renewal completed Yes No NAExpiry date:


Disclosable offence31 Yes NoNumber:

Yes NoNumber:

Written sign-off from the department to proceed Yes No NADate:

Yes No NADate:

International police record check32 Yes No NA Yes No NA

Employee (E) Working with Children Check Yes No NAExpiry date:


Current driver’s licence (applicable where staff transport children/young people)

Yes No NA Yes No NA

Referee checks × 2 Yes No Yes No

4.1.1 Interview notes Yes No Yes No

4.2.2 Record of qualifications and work history Yes No Yes No

Training and supervision of staff

Program requirement


4.3.1 Orientation and induction completed33 Yes No Yes No

31 If a person’s national police history includes a Category A offence, the individual should not be engaged in any client contact role without the written approval of the Director of the Office of Professional Practice and the Divisional Deputy Secretary. In all other cases, the relevant manager in the funded/registered organisation will manage the assessment process to determine the applicant's suitability for employment or placement (refer to Appendix 5: Safety screening assessment instructions and form) and discussion occurs with the relevant Area Director.32 Required for applicants who have spent 12 months or more overseas during the past 10 years – completed by the relevant overseas police force.33 Orientation and induction includes CSO policies and procedures, CSO mission statement and values, CSO structure, including lines of accountability and the roles and responsibilities of staff, carers and management.

Program requirement


4.4.1 Supervision occurs as per the CSO policy Yes No Yes No

4.4.4 Staff have access to training and professional development opportunities Yes No Yes No

4.4.8 Performance appraisals occur as per the CSO policy Yes No Yes No

Incident reporting /CIMS

Program requirement


2.10.3 Staff are made aware of the mandatory processes required for incident reporting through CIMS

Yes No Yes No


Appendix 4: Management questions

Foster care: CSO management questions3.2.5 Understanding the CSO’s responsibilities in relation to disclosable police records

Topic Aware

If the CSO is aware of a disclosable police record in relation to an applicant, an adult member of the applicant’s household or an existing carer and adult members of their household, the CSO must proceed in line with departmental police check policy

Yes No

Category A offences: Not to be engaged in any client contact role without written approval of the Director of the OPP and the Divisional Dep Sec

Yes No

Category A offences: Not permitted to enter or remain within the household while a child protection client is placed there unless written endorsement obtained from the Director of the OPP

Yes No

In all other cases, the relevant CSO manager manages the assessment process to determine the applicant’s suitability for employment or placement and ensure that before employment is formally offered, a discussion occurs with the relevant departmental Area Director/regional senior program manager about the intention to employ an individual with such a record34

Yes No

3.2.5 (cont’d) Understanding program requirements for an international police check

Topic Aware

Applicable to a potential carer and any household members aged 18 or older who have spent 12 months or more overseas during the past 10 years

Yes No

Applicants to whom it’s applicable should contact the relevant overseas police force to obtain a police check

Yes No

If it is not possible to conduct an international police check, two additional referee checks from people who knew the applicant while in that country must be conducted

Yes No

2.2 Considerations for placement matching

Program requirement

Topic Aware

2.2.12.2.2

CSOs ensure children are matched with carers who:• are fully accredited for the type of care required (numbers,

ages and gender of children in placement)• able to meet the child’s individual and special needs

Yes No

2.2.3 If a placement is requested outside of the carer’s accreditation status, a preliminary agreement must be reached between the CSO program manager and the department placement coordination manager prior to the placement occurring

Yes No

34 The departmental representative cannot direct or make the decision to employ but should provide their opinion regarding any decision the organisation makes (in line with the principles outlined).

Program requirement

Topic Aware

2.2.3 The CSO will conduct a formal assessment and review of the carer’s competency and accreditation status within 14 days

Yes No

2.2.4 The placement does not have a negative impact on existing placements

Yes No

2.2.5 The foster carer family’s capacity, routines, commitments and resources

Yes No

2.2.6 Information from all relevant professionals, the child and their family, potential carers and their families and other children in the placement has been obtained

Yes No

2.2.7 Siblings rights to be placed together when it is in their best interests are upheld

Yes No

2.10 Key CSO responsibilities in responding to incidents (CIMS)

Topic Aware?

Must follow the mandatory steps outlined in the Client incident management guide and its Addendum for out of home care

Yes No

The CSO must consult with child protection throughout the client incident management process, and the outcome of any incident investigation or incident review will be reported to inform child protection’s case planning and placement decisions

Yes No

CSO program managers must participate in incident screening to ensure incidents are categorised and reported correctly:• major – 24 hours

• non-major – monthly

Yes No

Must clearly document in the carer and client files all relevant details from any incident raised about the carer/household members including those managed to an outcome through support and supervision or a carer development plan

Yes No

Must inform carers (as much as possible) about the progress and outcome of an incident investigation and of the process to appeal decisions

Yes No

If an incident is related to an Aboriginal or Torres Strait Islander child or young person in out-of-home care, the relevant Aboriginal Child Specialist Advice Support Service (ACSASS) must be informed and consulted during the CIMS process

Yes No

If an Aboriginal or Torres Strait Islander child or young person is placed with a non-Aboriginal carer, consultation with the local Aboriginal community-controlled organisation (ACCO) or a respected community member will occur in addition to consulting with ACSASS

Yes No

Regularly analyses incidents raised in relation to their carers and children in their care and considers outcomes to inform policy and practice

Yes No

* Request a copy of the associated policies and procedures and cross-check responses.

Other comments:


Appendix 5: Report template

Compliance and quality audit reportDepartment of Health and Human Services

Community service organisation: [insert name]

Program audited: Home-based Care – Foster Care

Audit date: [insert date(s)]


Auditor 1: [insert auditor’s name]

Auditor 2: [insert auditor’s name]

IntroductionThis report documents the findings of an audit against the program requirements for home-based care in Victoria35 conducted by the Compliance and Quality Unit on [insert date(s)] 2018 at:

• [insert CSO name] regional/head office at [insert address].

The auditors would like to acknowledge the management and staff of [insert organisation’s name] for their assistance throughout the audit.

Audit scope and methodologyThe audit approach included document review of [insert number] carer files (representing [insert number] carers) and [insert number] client files. Carer file selection included new and longer term carers and carers with more than one child/young person currently placed with them.

Client file selection included all children/young people currently placed with the carers in the carer file sample reviewed.

Audit findings against each criterion are rated as ‘compliant’ (C), ‘noncompliant’ (NC) or ‘not applicable’ (NA) against the program requirements. Criteria rated as ‘compliant’ may or may not be accompanied by additional comments.

All CSOs start the audit with the premise of 100 per cent compliance. Where noncompliance is identified, points are deducted. The total score achieved out of 100 is converted to a percentage and awarded a rating (levels 1–4).

Executive summaryThe auditors found evidence of well-established systems and processes within [insert organisation’s name] home-based care (foster care) program. Staff interviewed demonstrated their understanding of, and compliance with, [insert organisation’s name] policies and procedures.

Evidence was available to show carers, children and young people were well supported.

35 Based on Program requirements for home-based care in Victoria, Interim revised edition, April 2014


Summary of findingsCarers

Pre-assessment of carer

Program requirements Audit finding Score

3.2.5 Disqualified carer check*36

3.2.5 Police checks*

3.2.5 Working With Children Check*

3.2.2/3.2.4 Step by Step Victoria conducted by qualified assessor

3.2.5 Reference checks

3.3.1, 3.3.2, 3.3.4, 3.3.5 Shared Stories Shared Lives delivered by qualified facilitator

3.3.9/3.3.10 Cultural training

Approval of carers


3.4.4 Panel report addresses required elements

3.4.5 Foster care accreditation approved by panel and minutes signed by chairperson*

3.4.6 Foster carer registered by the CSO within 14 days of approval

3.4.8 Code of conduct

Supervision of carers


3.5.3, 3.6.3 Monthly supervision

Annual review of carer


3.5.4 Annual review

3.5.6, 3.5.7, 3.5.9–3.5.12 Current safety checks*

3.5.1 Home and environment check

3.5.5 Capacity to continue caring

Incident reporting


2.10.8 All relevant details from any critical incident raised about the carer or members of their household including those managed to an outcome through support and supervision or formal care review are clearly documented in the carer file

36 A disqualified carer check must be undertaken prior to an applicant being approved as a foster carer at panel.


Subtotal

Clients

Care and placement planning and review: 2.1.2, 2.1.7, 2.1.8, 2.1.10, 2.1.11. 2.9 – LAC documents


Essential Information Record (EIR)

Care and Placement Plan (C&PP)

15+ Care and Transition Plan (15+C&TP)

Assessment and Progress Record (APR)

Client care requirements: 1.2.2 – 1.2.5 – Medical and health


Health assessments conducted

Annual health assessment

Medical history

Supervision of children


2.5.3 Evidence of private, monthly meetings between the client and CSO worker or case manager

Incident reporting


2.10.8 – All relevant details from a critical incident involving a client, including actions taken to support their safety and wellbeing, are clearly documented in the client’s file

Subtotal

Staff

Pre-employment


4.1 Police checks*

4.1 WWCC*

4.1 Driver’s licence

4.1 Reference checks

4.1.1 Interview notes

4.2.2 Record of qualifications and work history


Training and supervision of staff


4.3.1 Orientation and training

4.4.1 Supervision occurs as per CSO policy

4.4.8 Performance appraisal

Incident reporting


Staff trained in CIMS

Total score

Compliance percentage

Rating level


Carer file audit findings

Criterion Findings

1. Pre-assessment of carer(PR 3.2 and 3.3)

The CSO is compliant/noncompliant with prescribed screening, assessment and mandatory pre-service training for applicants prior to a child being placed with a carer.

• If noncompliant, explain rationale

• If compliant, can add additional information if clarification is needed regarding the finding

2. Approval of carer(PR 3.4)

The CSO is compliant/noncompliant with the requirement to use the mandatory Victorian foster care approval process.

• If noncompliant, explain rationale

• If compliant, can add additional information if clarification is needed regarding the finding

3. Ongoing carer support and supervision(PR 2.2, 3.6, 3.7, 3.8)

The CSO is compliant/noncompliant with program requirements to provide carers with the Foster carer charter.

The CSO is compliant/noncompliant with the requirement to provide carer supervision, at a minimum, once each month.

4. Annual review of carer(PR 3.5)

The CSO is compliant/noncompliant with program requirements to conduct mandatory monitoring and review processes for carers.

5. Incident reporting/CIMS(PR 2.10.3, 2.10.8)

The CSO is compliant/noncompliant with the requirement to ensure carers are made aware at induction of the mandatory processes required for investigating incidents.The CSO is compliant/noncompliant with the requirement to clearly document all relevant details from any incident raised about the carer or members of their household including those managed to an outcome through support and supervision or formal care review in the carer fileORThe CSO’s compliance with program requirements 2.10.3 and 2.10.8 was assessed on the basis of information provided in written documents and verbal responses at interview because no carer file audited had a critical incident.

Other comments: [To be filled in by auditor]


Client file audit findings

Criterion Comments

1. Care and placement planning and review(PR 2.1, 2.7, 2.9)

The CSO is compliant/noncompliant with the program requirements for recording care and placement planning and review for clients.

2. Client care requirements(PR1.2,1.4,1.6,1.7,1.8)

The CSO is compliant/noncompliant with client care requirements.

3. Supervision of children(PR 2.5.3)

The CSO is compliant/noncompliant with client care requirements for supervision of children.

4. Incident reporting The CSO is compliant/noncompliant with requirements to clearly document all details from a critical management issue in the client’s file.The CSO is compliant/noncompliant with requirements to record action taken to support the client’s wellbeing and safety following an incident being raised.



Staff file audit findings Criterion Comments

1. Pre-employment(PR 4.1, 4.1.1, 4.2.2)

The CSO is compliant/noncompliant with the program requirements for screening and assessment of applicants prior to be offered employment.

2. Training and supervision(PR4.3.1, 4.4.1, 4.4.4, 4.4.8)

The CSO is compliant/noncompliant with training and supervision requirements for staff.

3. Incident reporting/CIMS (PR 2.10.3)

The CSO is compliant/noncompliant with client care requirements for incident reporting.



Next stepsReview process Any queries regarding audit findings can be directed to the department’s Compliance and Quality Unit within two weeks of receiving the report, via telephone or email. Your query will be acknowledged within 48 hours with an estimated timeframe for a response.

Where a request for review of a finding is made, the CSO may be asked to forward additional supporting evidence.

All queries regarding audit findings should be directed to Andrew Kringas, Manager Compliance and Quality Unit, via email or telephone.

Email: c&[email protected]

Phone: (03) 9096 5185

Action plan Where any noncompliance is identified at audit the CSO is required to submit an action plan to the department’s Compliance and Quality Unit by [insert date]. Where a review is in progress, the action plan should be submitted within two weeks of the review being finalised.

There is no prescribed format for the action plan. However, the action plan should include:

• any noncompliance raised in the report • the CSO’s planned actions to address all noncompliance issues • the planned timeframe within which each action is to be completed.

Once submitted to the Compliance and Quality Unit, the action plan will be reviewed to ensure it addresses the above criteria. The reviewing departmental officer will contact the CSO to confirm this or, where required, discuss any areas requiring revision.

The CSO will also be asked to notify the Compliance and Quality Unit of the actual date when all planned actions have been addressed. Completed actions will be followed up by the audit team at the next audit.

Action plans should be submitted to Andrew Kringas, Manager Compliance and Quality Unit, via email <c&[email protected]>.

[insert auditor name] [insert auditor name]

Senior Auditor, Compliance and Quality Unit Senior Auditor, Compliance and Quality Unit

Operational Performance and Quality Operational Performance and Quality




Appendix 6: Rating system

Each foster care office is assessed for their level of compliance with audit criteria drawn from the Program requirements for home-based care in Victoria: Interim revised edition, April 2014.

All CSOs start the audit with the premise of 100 per cent compliance. Where noncompliance is identified, points are deducted. The total score achieved out of 100 is converted to a percentage and awarded a rating (levels 1–4). Where a CSO meets all program requirements, they will be rated as 100 per cent compliant. Weighted scores are divided across carer, client and staff program requirements shown in the tables below.

The final percentage will be rated as follows:

Program requirement Noncompliance total score value

Score deducted for noncompliance

Carer requirements 50% /50

Client requirements 25% /25

Staff requirements 25% /25

Total 100% /100

The total percentage of noncompliance is given to the following ratings:

Total compliance score Rating Level

0–29 compliance Significantly under performing 1

30–59 compliance Requires significant improvement 2

60–84 compliance Good 3

85–100 compliance Very good 437

Carer requirements

Audit criteria Weighting Scoring

Pre-assessment of carers 19

Disqualified carer check38* 5

Police checks* 5

WWCC* 5

SxSV 1

Reference checks 1

SSSLV 1

Cultural training 1

Approval of carers 13

37 Note: Noncompliance with any asterisked (*) audit criterion automatically precludes the CSO from achieving a Level 4/Very Good rating38 A disqualified carer check must be undertaken prior to an applicant being approved as a foster carer at panel.



Panel report addresses accreditation status criteria

4

Signed by chairperson* 4

Carer register 4

Code of conduct 1

Supervision of carers 6

Monthly supervision occurs* 6

Annual review 8

Annual reviews 2

Current safety checks* 2

Home and environment check 2

Capacity to continue caring39 2

Incident reporting 4

Incidents recorded and reported 4

Subtotal 50

Client requirements


Care and placement planning and review; LAC documents are completed within required timeframes

9

EIR 3

CPP/15+ 3

APR 3

Client care 6

Health assessments conducted 3

Annual health assessment 2

Medical history 1

Supervision of clients 6

Monthly in the absence of the carer*

6


Incidents recorded and reported 4

Subtotal 25

39 Includes any changes made to the carer’s accreditation status.


Staff requirements


Pre-employment 13

Police checks* 5

WWCC* 5

Driver’s licence 1

Reference checks 1

Record of qualifications and work history

1

Supervision and training 8

Orientation and training 5*

Performance appraisal 1

Supervision occur as per policy 1

Cultural training 1


Staff trained in CIMS 4

Subtotal 25

Total /100


Documents

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