Quality Assurance

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Box 7788 Canberra Mail Centre ACT 2610

Telephone 1300 653 227
TTY 1800 2606 420
www.facs.gov.au
UPDATE OF QUALITY ASSURANCE HANDBOOK

I am pleased to enclose the second edition of the Quality Assurance Handbook, which updates
information about the new quality strategy for Australian Government funded disability employment
services and rehabilitation services.
The first edition of the Quality Assurance Handbook was released in December 2001. Since then,
changes to the Disability Services Act 1986 came into effect from 1 July 2002, and certification
assessments are well under way. The contents have been updated to reflect these changes, to clarify
issues, and to provide additional examples of evidence against the Disability Services Standards. A
summary of the changes appears in the table on the next page.
A CD-ROM is supplied with the Handbook, which provides another option for sharing information
about the quality strategy. The updated Handbook will be available soon on the Department’s website
– www.facs.gov./qa.
The Continuous Improvement Handbook is being updated, and should be available within the next
three months.
If you wish to discuss any aspects of the quality strategy, please contact your local Department of
Family and Community Services. Contact details are provided in the Handbook.
Yours sincerely,
Margaret Marsh
A/g Director
Quality Assurance Team
Disability Services Reforms Branch
August 2003
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SUMMARY OF CHANGES TO
QUALITY ASSURANCE HANDBOOK ISSUE TWO
SECTION CHANGES
1 How to use this Handbook Minor
2. Overview of the Quality Assurance System Update on impact of revised legislation
3. Transition to the new Quality Assurance System Clarification about s14K (Departmental) audits
and self-assessments
4. Funding Arrangements Clarification about reimbursement of audit costs
5. Certification Assessment Procedures Minor
6. Step-by-Step Guide to the Clarification about timeframes during

Quality Assurance System transition period
7. Links to Continuous Improvement Minor
8. Links to Complaints and Referrals Mechanisms Update on Complaint Resolution and

Referral Service
9. Disability Services Standards and Key Minor changes as result of legislation

Performance Indicators
10. Evidence Guidelines As for (9), plus additional examples of evidence,

and clarification on policy and program context
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Quality Assurance
Foreword
Foreword
Welcome to the new quality strategy for disability employment services and CRS Australia.
The new quality strategy is the product of a great deal of time and energy by the
disability sector and Government. In particular, I would like to acknowledge the work
and commitment of members of the Disability Quality and Standards Working Party to
developing a world class quality system.
The new quality assurance system has been developed in light of research, a six-
month trial and feedback from the disability sector. You may recall that a
consultation paper was widely distributed earlier this year based on the findings of a
six-month trial of the quality assurance system. This was followed by public
consultations held around the country and targeted consumer focus groups.
An independent evaluation of the trial of the quality assurance system concluded
that it provides a robust and credible system for measuring service quality. Results
of the national consultation indicate widespread confidence that this quality system
will lead to significant improvement in service quality and consumer outcomes.
This system is firmly based on an established system of accreditation/certification and
international standards of best practice. Independent, skilled auditors from accredited
certification bodies will certify disability employment services and CRS Australia against
the Disability Services Standards and related key performance indicators.
A groundbreaking feature of the new quality assurance system is that it involves people
with disability at every level including accreditation of certification bodies and
certification of service providers.
A range of information and support will help services meet the requirements of the
new system, and in the longer term, identify avenues for continuous improvement.
This Handbook is an important source of information for services on the
certification process. Early next year, a Continuous Improvement Handbook will
be sent to service providers with further information and strategies for embedding
a quality system within their service.
Continuous improvement is central to the quality strategy and in keeping with this,
key components of the strategy will be regularly reviewed and updated in light of
feedback and improving practice.
On behalf of the Working Party, I encourage you to actively take on board the new
quality strategy, which I believe represents a significant step forward for people with
disabilities. I look forward to a continuing commitment to improving the quality of
disability employment services.
Ian Spicer AM
Chair
Disability Quality and Standards Working Party
November 2001
© Australian Government Department of Family and Community Services, 2003 Quality Assurance Handbook Issue 2, May 2003 Page 1
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CONTENTS
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How to use this Handbook
1 How to use this Handbook
This Quality Assurance Handbook is for disability employment services funded by

the Australian Government Department of Family and Community Services (FaCS) to
help you understand your responsibilities under the new Quality Assurance (QA)
system and the steps you’ll have to follow.
Under the changes to the Disability Services Act 1986, all Australian Government-
funded disability employment services and CRS Australia will have to be certified as
complying with the Disability Services Standards. This means each service will be
assessed by an accredited certification body to determine whether it meets all the
requirements of the Disability Services Standards. This assessment is known as a
certification assessment.
Basically this handbook is a reference guide outlining the procedures associated
with certification assessments. The information presented is closely linked to the
other elements of the Australian Government’s Quality Strategy — continuous
improvement and complaints and referrals.
The Quality Assurance Handbook has ten sections. They are:

◗ How to use this Handbook (Section 1)
◗ Overview of the Quality Assurance (QA) system (Section 2)
This section contains background information on the legislative basis of the QA
system and the roles of key stakeholders including people with a disability,
FaCS, JAS-ANZ, certification bodies and funded services.
◗ Transition to the new Quality Assurance system (Section 3)
This section contains information on the arrangements for transition between
the old department-based QA system and the new system.
◗ Funding arrangements for the new system (Section 4)
This section contains arrangements for FaCS reimbursement of reasonable audit costs.
◗ Certification assessment procedures (Section 5)
This section contains a plain English description of the formal procedures for
certification assessments.
◗ Step-by-step guide to the Quality Assurance system (Section 6)
This section contains details of registration, preparing for an audit, applying for
certification, certification assessments and decisions, preparing for a
surveillance audit and reassessment.
◗ Links to Continuous Improvement (Section 7)
This section contains information on how the QA system links to the Continuous
Improvement component of the quality strategy.
◗ Links to complaints and referrals mechanisms (Section 8)
This section contains information on how the QA system links to the complaints
and referrals component of the quality strategy.
© Australian Government Department of Family and Community Services, 2003 Quality Assurance Handbook Issue 2, May 2003 Section 1, Page 1
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How to use this Handbook
◗ Disability Services Standards and KPIs (Section 9)

This section details the 12 revised Disability Services Standards and 26 key
performance indicators that form the assessment framework for the QA system.
◗ Evidence guidelines (Section 10)
This section outlines the questions, signposts and examples of evidence that
help to define the focus and scope of audit assessments against each of the
Standards and KPIs.
Sections of the handbook will be continually reviewed and updated, and these
updates will be available to all funded services. It is important to keep your copy up-
to-date.
You will note as you go through it that important information is repeated in different
sections and links provided to extra details. This is so that each section is completely
self-contained and includes all the information relevant to that particular topic.
Is your QA handbook up-to-date?
Check the FaCS QA website (www.facs.gov.au/qa) for the

latest version.
The version number of each section of the handbook is

shown at the bottom right hand edge of each page.
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CONTENTS
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Overview of the new

quality assurance system
2 Overview of the new quality assurance system
This section provides background information on the QA system and the roles of
key stakeholders including people with a disability (Section 2.5), JAS-ANZ and
certification bodies (Section 2.6) and FaCS (Section 2.7).
What you must know about the new QA system
◗ The new system will apply to all disability employment services and CRS
Australia.
◗ The new system is based on a system of certification that is well established
in Australian industry as part of the Joint Accreditation System of Australia
and New Zealand (JAS-ANZ). The new system is independent of government.
◗ The system has been designed to ensure people with a disability are involved
in all aspects and stages of the process.
◗ Changes to the Disability Services Act 1986 came into effect from 1 July 2002
◗ The legislation allows for a phased transition from the current system to the
new system between 1 July 2002 and 31 December 2004 (see Section 3 for
details).
◗ To be eligible for funding during the transition period all existing employment
services will now either need to be certified or have registered their intention
to be certified by an agreed date.
◗ This date will need to be negotiated with FaCS State and Territory Offices.
Services will need to seek certification before the expiry of their registration
period unless they negotiate with FaCS for a later date.
◗ Under the legislation existing disability employment services (funded before
1 July 2002) and CRS Australia will have until 31 December 2004 to achieve
certification and, therefore, continued funding.
◗ New services will need to register their intention to seek certification and will
have up to 12 months to gain it.
◗ Under the legislation, if services lose certification and funding they will need
to regain certification before funding is re-considered.
2.1 Quality Strategy

The quality strategy is a key element of the Government’s plan to restructure
disability employment support programs to improve the quality of services and
achieve better outcomes for consumers.
The quality strategy addresses concerns with the current system raised in Assuring
Quality, a 1997 report drafted by the Disability Quality and Standards Working Party.
Of particular concern was the lack of a transparent and universally applied
accreditation and certification system to provide an assurance of service quality to
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both consumers and the Government. Other concerns included the lack of incentive
for service improvement and an ad hoc complaints and referrals system.
The goal of the quality strategy is to ensure that people with disabilities can seek
assistance and support from a range of Australian Government-funded employment
services certified against the Disability Services Standards. These services will have
shown they offer employment support and assistance to people with disabilities,
enabling them to enjoy the same basic rights and opportunities generally available
to all working Australians.
The quality strategy for employment services is designed to:

◗ give people with disabilities better confidence in the quality of results that
disability employment services achieve for them;
◗ ensure all services meet, as a minimum, the Disability Services Standards;
◗ make the assessment of quality more objective and measurable;
◗ treat all service providers equally (in government and non-government sectors);
◗ link certification to funding;
◗ reduce government intervention in the day-to-day operation of services; and
◗ help services continue to improve.
The three-pronged quality strategy is designed to embed quality in all aspects of

service delivery.
It has three separate, yet interrelated, components. They are:
◗ quality assurance;
◗ continuous improvement (see Section 7); and
◗ complaints and referrals (see Section 8).
QUALITY STRATEGY
Quality Continuous
Assurance Improvement
Complaints
& Referrals
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Overview of the new

2.2 Quality Assurance System
A key component of the quality strategy is the new QA system which was developed
and trialed by FaCS, along with key representatives of the disability sector (through
the Disability Quality and Standards Working Party, a subcommittee of the National
Disability Advisory Council). The new system implemented on 1 July 2002 is based
on a system of accredited certification, well established in Australian industry,
which uses international standards of best practice.
Its key features are:

◗ a revised set of 12 Disability Services Standards, including two new Standards,
based on industry recommendations in Assuring Quality;
◗ service quality specified in terms of 26 key performance indicators (KPIs) across
the 12 Standards. This means all disability employment services (covering the
old Section 10, 12A and 13 services) have to meet the same requirements for the
quality of the service they provide;
◗ certification of funded services’ compliance with these requirements on the basis
of assessments undertaken by independent, accredited certification bodies;
◗ accreditation of certification bodies by JAS-ANZ. Accreditation requirements are
contained in JAS-ANZ Procedure 18 General Requirements for Bodies Operating
Assessment and Certification of Disability Employment Services, available on
the JAS-ANZ website (www.jas-anz.com.au); and
◗ annual internal audits by services to self-assess their compliance with the
Disability Services Standards. Guidelines on conducting internal audits are
available in the Continuous Improvement Handbook.
Certification is recognition by a third party that a disability employment service
conforms to the requirements of the Disability Services Standards. Disability
employment services that achieve certification will receive a certificate that will be
recognised by the Australian Government Government as proof that the
organisation is delivering services in line with the Disability Services Standards.
Such certificates will only be recognised where they have been issued by
certification bodies accredited by JAS-ANZ to undertake certification audits against
the Disability Services Standards.
Accreditation is the process by which JAS-ANZ formally recognises that a
certification body is competent to carry out specific tasks — in this case to
undertake assessments and offer certification against the Disability Services
Standards, according to JAS-ANZ Procedure 18. The Australian and New Zealand
Governments established JAS-ANZ to ensure that certification bodies are competent
and impartial. JAS-ANZ offers accreditation programs in many other sectors,
including quality (ISO 9000 certification - JAS-ANZ Procedure 10), environment (ISO
14001 certification - JAS-ANZ Procedure 8) and occupational health and safety (AS
4801, SafetyMAP certification - JAS-ANZ Procedure 2).
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JAS-ANZ JAS-ANZ accredits certification

(Accreditation Body) bodies as competent and
impartial for undertaking audits
against the Disability Services
Accredited certification bodies Standards
Certification bodies certify
disability employment services
Certified disability for compliance against the
employment services Disability Services Standards
2.3 Legislative basis of the QA system

The changes to the Disability Services Act came into effect on 1 July 2002.
Parliament agreed that to be eligible for continued funding all Australian
Government funded disability services and rehabilitation programs must be
independently certified as complying with the standards and Key Performance
Indicators by 31 December 2004.
The Impact of the Quality Assurance legislation

The Guidelines associated with the new Quality Assurance legislation came into
effect in September 2002. To assist organisations to understand the new require-
ments, Section 5 of Guidelines which explain the legislation, are summarised
below.
Requirements for currently funded organisations

Currently funded organisations:
◗ will need to achieve certification under the new quality assurance Standards by
31 December 2004 to receive Australian Government funding beyond that date;
◗ must continue to meet the Standards which applied to the service before 1 July
2002 until they have achieved certification under the new quality assurance
system.
Requirements for newly funded organisations
New organisations seeking a grant will need to have either:

◗ sought certification by an accredited Certification Body;
◗ formally registered their intention to be certified by an acceptable date (this
should be no later than 12 months from the date their grant was approved).
After 1 January 2005, new organisations applying for a first-time grant will still be
eligible to receive a grant if they have registered their intention to seek certification.
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Overview of the new

Varying certification dates

If any organisation needs to vary the intended date of certification they will need to
complete the ‘Request to Vary Intended Certification Date’ form and submit a one-
page plan which outlines:
◗ Key dates and milestones for achieving certification

◗ their progress to date
◗ a new proposed certification date
A questionnaire is available for organisations to use as a guide when completing the
form. The ‘Request to Vary Intended Certification Date’ form, information is available
from FaCS State and Territory Offices and on the FaCS website www.facs.gov.au/qa
2.4 The certification assessment

Certification assessments involve a range of activities designed to collect evidence
to demonstrate that a disability employment service is complying with the Disability
Services Standards. These include interviewing service staff and consumers,
reviewing consumer files and observing service delivery. The time needed for the
on-site assessment will vary depending on the service size, type (supported or
open), and the communication abilities and support needs of consumers.
Services will receive a written report following the certification assessment that
includes conformity ratings against each KPI and each Disability Services Standard.
The certification decision will be made by personnel not involved in the assessment,
on the basis of the assessment report.
After certification, the certification body will carry out surveillance assessments at
least once a year to check services continue to comply with the Disability Services
Standards, and a full reassessment (similar to the certification assessment) will be
undertaken every three years.
Special arrangements will apply for certification of services with multiple sites.
Normally assessment for certification should take place at every site of a disability
employment service. However, where a service’s activities are carried out in a
similar manner at different sites, all under the service’s control, the service may be
certified based on assessment of a sample of sites. Attachment A (JAS-ANZ
Procedure 18, Annex 1) provides further details.
While every certification body has its own procedures, practices and terminology,
each must comply with the general requirements in JAS-ANZ Procedure 18. It is
important to note that Procedure 18 contains requirements for certification bodies
(not disability employment services) and covers requirements governing their
impartiality, confidentiality, competence and certification processes.
Certification bodies must inform potential clients about their certification processes.
While this handbook outlines key elements of the certification process, your chosen
certification body will provide further information.
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Want more details?
Section 5 outlines the formal procedures for certification

assessments
Section 6 provides a step-by-step guide and checklists
covering registration, applying for certification and the
ongoing audit cycle
Attachment A provides a copy of JAS-ANZ Procedure 18
2.5 Role of people with a disability in the QA system

The QA system has been designed to ensure consumers are involved in all aspects
and stages of the process and occupy roles in which power can be exercised. These
include:
◗ The participation of consumers in preparing for certification assessments

Services need to inform their consumers about the certification process and the
requirements of the new system and its assessments. They must also involve
consumers in internal audits. Certification bodies under Standard 3 will look at
the scope and quality of consumer involvement. Independent support for
consumers before and during certification will be available if needed. Contact
your State and Territory FaCS officers to discuss options.
◗ The participation of consumers during certification assessments
All certification assessments must include interviews with consumers. Certifica-
tion bodies will liaise with services about selecting consumers for interview.
Information on sampling consumers can be found at Section 3.10; and in JAS-
ANZ Procedure 18, Annex 3, available on the JAS-ANZ website (www.jas-
anz.com.au).
◗ The inclusion of consumers on assessment teams
Each assessment team includes a person with a disability (who is not from the
service being assessed) either as an auditor or technical expert. Typically, an
assessment team will consist of a lead auditor and a person with a disability. If
the person with a disability also has the necessary qualifications and experi-
ence to be a lead auditor, a one-person team is possible. The team member with
a disability is involved in:
◗ planning consumer participation in the assessment;
◗ interviewing consumers during the assessment;
◗ reviewing consumer files or following-up issues with consumers;
◗ contributing to the review of assessment evidence; and,
◗ contributing to the written assessment report.
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Overview of the new

◗ Consumers involvement in the new QA system

JAS-ANZ involves people with disabilities in the process of accrediting certifica-
tion bodies, including accreditation assessments, an accreditation review panel
and an appeals panel. Certification bodies also have to involve people with
disabilities in their certification processes, such as monitoring their certification
principles and policies, making the decision to certify a disability employment
service and hearing any appeals.
2.6 Role of certification bodies and JAS-ANZ

Certification assessments are undertaken by audit teams nominated by certification
bodies accredited with JAS-ANZ. The competence and impartiality of audit teams is
monitored by JAS-ANZ.
Service providers choose the certification body to undertake their audits. JAS-ANZ
regularly updates and circulates a list of accredited certification bodies. FaCS can
also advise service providers of the certification bodies that are accredited to assess
disability employment services. There were six certification bodies involved in the
trial of the new system, but it is expected more certification bodies will apply for
JAS-ANZ accreditation when the system is fully operational.
It is important to note that there are strict rules in JAS-ANZ Procedure 18 governing
the independence of certification bodies from the services they assess. This means
that certification bodies cannot provide consultancy services. For example, they are
not allowed to tell you how to fix any problems they find with your system.
How do I choose a certification body?

For more information - see Section 6.3.
2.7 Role of the Australian Government

Unlike the old system, the process of certification is now completely independent of
government. As an industry-owned process, FaCS does not approve certification
bodies and is not involved in undertaking certification assessments.
Under the new system, the role of FaCS is to develop policy and to provide support
and resources to help services gain certification and pursue continuous
improvement. Contact details for your FaCS State or Territory office appear in
Attachment C.
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2.8 What criteria will we be assessed against?

The criteria used to assess compliance are specified in terms of 26 key performance
indicators (KPIs) across a revised set of 12 Disability Services Standards.
Are you familiar with the revised Disability Serv-

ices Standards and the 26 KPIs?
For more information - see Section 9.
To gain certification, funded services are required to demonstrate compliance with

all 26 KPIs.
To help services understand the scope and intent of certification assessments,
evidence guidelines have been drawn up which outline questions, signposts and
examples of evidence for each of the Standards and KPIs.
Are you familiar with the evidence guidelines

for each Standard and KPI?
For more information - see Section 10
2.9 What happens if we are found to be not fully compliant?

At the end of an assessment the certification body will tell you whether your
organisation meets all the KPIs. Where an organisation meets all 26 KPIs it will be
recommended for certification.
Certification bodies use the term “nonconformity” to indicate that the requirements
of a particular KPI are not met. Where one or more nonconformity is identified the
service will be required to prove it has fixed the problem before being eligible for
certification. Certification bodies will specify a time limit to address the non-
conformities. A service will not be eligible for certification until all non-conformities
have been fully addressed.
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Overview of the new

What is a nonconformity and what are the

implications?
For definitions - see Section 5.4
For step-by-step guidelines - see Section 6.5
Certification bodies must also report any notifiable issues identified during an
assessment. Notifiable issues are defined as evidence or allegations of a serious
health, safety or abuse risk, financial impropriety and/or professional misconduct.
If such evidence is found or specific allegations are made, the certification body has
to record the details and immediately notify the disability employment service’s
manager (unless there is justifiable reason for not doing so) and FaCS. The
certification body is not responsible for resolving the issue. However, certification
cannot proceed until FaCS advises the certification body that the notifiable issue is
resolved. If the disability employment service is already certified, the certification
body will seek advice from FaCS.
2.10 What are the checks and balances in the system?

Strong and impartial complaints and appeals processes are vital components of the
quality strategy.
They are there to:
◗ assist services and consumers resolve any concerns about certification decisions
or the certification process; and
◗ assist consumers to resolve concerns about a service, the delivery of services, or

other consumers within the service.
JAS-ANZ Procedure 18 requires certification bodies to have effective complaints and

disputes processes, and also an impartial appeals mechanism. Certification bodies
must inform anyone who needs to know about these processes how to use them.
If you have a complaint about certification, a certification body, or a certified
disability employment service, you should first complain to the relevant certification
body. (Make sure you ask them about their complaints and appeals processes
before you engage their services.) If you are not satisfied with that outcome you can
then approach JAS-ANZ for assistance.
Certification bodies can also complain to JAS-ANZ about accreditation issues, or, for
example, the practices of other certification bodies. JAS-ANZ does not have
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authority to overturn a certification decision, although it can question the

judgement of the certification body and reassess its accreditation status if
accreditation requirements have not been met. JAS-ANZ Procedure 9 - Appeals and
Procedure 12 - Complaints and Disputes has more details on processes and
requirements. This is available from the JAS-ANZ website (www.jas-anz.com.au).
Complaints from service users should be handled initially by the disability
employment service. If a service user is not satisfied with the results of the internal
complaints investigation or does not wish to use the service’s internal complaints
process, they can contact the Complaints Resolution and Referral Service (CRRS).
The CRRS will:
◗ attempt to resolve issues at the local level;
◗ make recommendations to assist in resolving the complaint;
◗ treat all parties to the complaint with dignity and respect and will be sensitive to
the needs of people with disabilities;
◗ give full reasons for decisions and information about further rights;
◗ use information from complaints to improve the CRRS and the delivery of dis-
ability employment services.
Providers should also be aware of the National Disability Service Abuse and Neglect
Hotline. The Hotline is a single contact point for anyone to report claims of abuse
and neglect in government funded services.
Both the Complaints Resolution and Referral Service and the National Disability
Service Abuse and Neglect Hotline can be contacted as follows:
Telephone: FREECALL 1800 880 052
Telephone Typewriter (TTY): FREECALL 1800 301 130
National Relay Service (NRS): 1800 555 677
Telephone Interpreter Service: 131 450
Facsimile: 02 9318 1372
Postal Address: Locked Bag 2705
Strawberry Hills NSW 2012
The National Disability Services Abuse and Neglect Hotline has a website:
www.disabilityhotline.org
2.11 What if I already have a quality system?

You don’t have to run and document separate systems. You can integrate an existing
QA system (eg one which complies with ISO 9002) with a system that complies with
the 12 Disability Services Standards and 26 KPIs. If your existing system is certified by
a certification body accredited to offer certification to the 12 Disability Services
Standards, you can ask them to conduct integrated assessments, particularly if you
have integrated your systems. This should result in substantial cost savings but you
will need to negotiate this with your certification body. If the certification body that
has certified your ISO 9002 system says it cannot offer accredited certification to the
Disability Services Standards, ask them why not. And then perhaps consider finding a
certification body that can offer both certification services.
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CONTENTS
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Transition to the new QA system
3 Transition to the new QA system
This section provides information on the arrangements for transition between the
old department-based system and the new system.
What you must know about the transition to the new QA system
◗ There will be a phased transition from the old system to the new system
between 1 July 2002 and 31 December 2004. (The new system actually
commenced on a voluntary basis from 1 January 2002)
◗ Under the new system all services will be audited against the revised
Standards and KPIs. This means all disability employment services and
CRS Australia have to meet the same minimum level of quality.
◗ Three-year certification assessments undertaken by accredited
certification bodies will replace the current five-year departmental audits
(Section 14K audits).
◗ Annual surveillance audits will also be undertaken by accredited
certification bodies and will replace annual self-assessments.
Organisations will, however, be required to undertake annual internal
audits under the new QA system.
◗ Until formally certified, employment services will be subject to the existing
departmental system of five-yearly audits against the existing Standards
and the supporting standards.
◗ During the transition period between 1 July 2002 and 31 December 2004,
services that have not achieved certification will be required to undertake
Section 14K audits if the five-yearly audit is due and a certification
assessment is not scheduled within 3 months.
◗ During the transition period services that have not achieved certification
will be required to undertake annual self-assessment if a certification
assessment is not scheduled within 3 months.
◗ Non-employment services (advocacy, print disability and information
services) will continue to be subject to the FaCS system of review against
the existing applicable Standards.
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3.1 Who does the new QA system apply to?

The new system applies to all disability employment services and CRS Australia.
Non-employment services (advocacy, print disability and information services) will
continue to be subject to the old department-based system of review against the
existing Standards.
3.2 What quality standards will apply?

Under the new system all services will be audited against the same Standards and
KPIs. This means that all disability employment services (covering the old Section
10, 12A and 13 services) and CRS Australia have to meet the same minimum level of
quality.
The level of quality is defined in terms of a revised set of 12 Standards and new set
of 26 KPIs (see Section 9).
To gain certification funded services are required to demonstrate compliance with
all 26 KPIs.
3.3 What will happen to the five-year departmental audits

(Section 14K audits)?
Under the new system three-yearly certification assessments undertaken by
accredited certification bodies will replace the current five-year department audits
(Section 14K audits).
Certification assessments are a formal, external assessment of the service
undertaken by accredited certification bodies approved by JAS-ANZ. Typically a
certification assessment will involve a minimum of two to four on-site auditor days
for each site covered by the audit (see Section 5).
3.4 What will happen to the annual self-assessments?

Under the new system annual surveillance audits undertaken by accredited
certification bodies will replace the old annual self-assessments, although
organisations will be required to undertake annual internal audits.
Details of the annual surveillance audits are in Section 5.
Background information on internal audits is in Section 6. Detailed guidelines are in
the Continuous Improvement Handbook that was distributed to service providers in
2002. However, it is important to remember that under the new system the
thoroughness of a service’s internal audit processes will be assessed as part of
each certification assessment.
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Transition to the new QA system
3.5 How will the transition occur?

The QA system will be phased in between 1 July 2002 and 31 December 2004. This
takes into account the different levels of support needed by service providers
depending on the maturity of their management system. Step-by-step information
on preparing for the new system is in Section 6.
Strictly speaking, until services are formally certified they will be subject to the
existing departmental system of self-assessments and five-yearly audits against the
existing Standards and the supporting standards that apply to Section 10, 12A and
13 services. However, FaCS State and Territory officers will aim to achieve a balance
between flexibility and government accountability.
Where the certification audit is due to commence within 3 months or at the same
time as the Section 14K audit, the certification audit would take the place of the
Section 14K audit.
The same approach applies to self-assessments.
3.6 What will happen to Consumer Training and Support (CTS)

services?
During the transition period CTS services will continue to provide support to
consumers under both the “old” standards monitoring system and the “new”
Quality Assurance system. Such independent support for consumers could be
available as part of:
◗ the existing self-assessment process;

◗ internal audits; and
◗ before and during certification assessments.
3.7 How will the new QA system be reviewed?

During the transition period FaCS will undertake a mid-term review of the quality
strategy to assess its effectiveness. This review will also include a review of the
appropriateness of the KPIs and evidence guidelines, with a view to establishing
some performance benchmarks for the disability sector.
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CONTENTS
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Funding arrangements
for the new system
4 Funding arrangements for the new system
This section provides information on the funding arrangements for the new system.
What you must know about the funding arrangements
◗ Certification costs will be market driven and so each certification body will
charge according to their standard commercial rates.
◗ During the three-year transition period FaCS pays a fixed amount for audit
costs. The amount reimbursed is based on an average cost for the
minimum number of sites to be audited.
4.1 Funding arrangements

It is recognised there will be both direct costs (certification fees and charges) and
indirect costs (such as staff time) associated with the new system. These costs will vary
from service to service. Many services that have implemented other QA systems already
incur such costs and believe strongly that the benefits are worth the investment.
The direct costs of certification fees and charges will be market driven, with each
certification body charging according to their standard commercial rates.
During the three-year phase-in period, FaCS will contribute to reasonable audit and
assessment costs.
The average certification and annual surveillance costs are based on the following
three components.
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CONTENTS
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Certification assessment
procedures
5 Certification assessment procedures
While every certification body has its own procedures for certification assessment,
they must comply with the general requirements outlined in JAS-ANZ Procedure 18
General Requirements for Bodies Operating Assessment and Certification of
Disability Employment Services.
This section presents a summary of these requirements.
What you must know about the certification assessment procedures
◗ Services will need to prepare for certification by collating all policies and
procedures relevant to the revised Disability Services Standards and
undertaking an internal audit.
◗ Services can choose any accredited certification body to undertake their

assessments.
◗ Services need to formally apply to a certification body for certification.
◗ Certification assessments involve a range of auditing activities over two to

four days, including meetings with service managers, consultations with
consumers, reviews of consumer files and observations of core service
delivery activities.
◗ Special arrangements apply for multi-site services.
◗ Services receive a written report following the certification assessment that

includes conformity ratings against each KPI and each Disability Services
Standard.
◗ Where one or more nonconformity is identified the service will have to

correct it before being eligible for certification.
◗ Once certified a service will be required to participate in an annual

surveillance audit and a full reassessment audit every three years.
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SECTION 5
5.1 Preparing for certification

There is no “right” way to prepare for or select the timing of a certification
assessment. Basically, each service needs to decide when it is ready to seek
certification based on the answers to two key questions:
◗ Do we have comprehensive policies, procedures and systems in relation to the

12 Standards?
◗ Do the results of our internal audit confirm that we are currently meeting the
requirements of all 26 KPIs?
The critical importance of preparing for certification is recognised in JAS-ANZ

Procedure 18, which requires services to:
◗ collate copies of all policies and procedures relevant to the Disability Services
Standard before a certification assessment. To assist with this process many
services have collated their policies and procedures into a quality manual. A
copy of these documents must be provided to the certification body before the
on-site assessment.
◗ undertake an internal audit against the Disability Services Standards at least
once a year. This process ensures that when certification bodies undertake a
certification or surveillance audit the service has a record of work they have
done to ensure ongoing compliance, and to address any non-compliance.
Guidelines on conducting internal audits are available in the Continuous
Improvement Handbook.
An internal audit is defined in Procedure 18 as:
“… Self-verification, in consultation with consumers, to see whether disability
employment service activities and related results comply with planned
arrangements, and determine compliance with the Disability Services
Standards”.
Internal audits will be a requirement of the revised Standard 8. (See Section 9.)
The internal audit could involve:
◗ reviewing policies and procedures in the light of the requirements of the
Disability Services Standards;
◗ consulting with consumers and other stakeholders about the areas where
the service is meeting the requirements of the Disability Services Standards
and areas where improvements are needed;
◗ identifying the sources of evidence a service can use to demonstrate
compliance with the Standards; and
◗ documenting achievements and priority areas for improvements.
The records of any internal audits, including records of consumer
participation during internal audits, will need to be made available to the
certification body during an audit.
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procedures
5.2 Applying for certification

Services need to formally apply for certification. The process of applying for
certification will typically cover three steps. They are:
◗ Contracting a certification body

Service providers can choose any certification body to undertake their audits that
has been accredited to assess disability employment services against the
Disability Services Standards. A commercial contract will need to be negotiated.
You are strongly encouraged to really look into the strengths and weaknesses of a
number of different certification bodies before entering into a contract. It is likely
that the contract will cover a full three-year cycle including arrangements for the
initial assessment, annual surveillance audits and a reassessment after three years.
◗ Formal application
Services will be required to submit a formal application to the chosen certification
body. Certification bodies are required to have established application procedures
and forms. As part of the application process services will be asked to provide the
certification body with copies of all policies and procedures relevant to the
Disability Services Standards and documentation relating to internal audits.
◗ Decision to proceed
Certification bodies are required to review the policies and procedures of the service
provider before any on-site assessment. The certification body is expected to report back
to the service with a decision on whether to proceed or not with the on-site assessment.
If the document review shows the service has limited or no chance of meeting the
requirements of the Standards, the certification body will recommend postponing the
on-site assessment. The service must be informed about the areas that need to be
addressed. At this point the service and the certification body should negotiate a new
date for the initial assessment. The service will need to advise the relevant State and
Territory FaCS offices of this new registration date.
If the document review is satisfactory the certification body will negotiate with the
service about the:
◗ time frame for the on-site assessment (eg dates and duration);
◗ requirements for consumer consultation (eg sample and consultation
methods); and
◗ reporting arrangements.
Procedure 18 says that the certification body must provide applicants with a detailed
description of the assessment and certification procedure to ensure that the
requirements for certification are clearly defined, documented and understood. Any
differences in understanding between the certification body and the applicant are
resolved. Services should not agree to go ahead with the certification assessment until
they are clear about the process and their roles and responsibilities.
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SECTION 5
5.3 Participating in certification assessments (on-site activities)
The on-site assessment will typically include:

◗ a formal entry meeting in which the audit team must formally explain the scope
and objectives of the audit, the timetable and planned audit activities, as well as
allowing adequate time for questions;
◗ evidence gathering, most of which will involve observations, reviewing records
and conducting interviews with service management and staff. A specific
component of the evidence gathering will involve consultation with consumers.
Certification bodies are required to have developed a consumer consultation
plan before the on-site assessment, and communicate with the service about
sample size, selection and consultation methods;
◗ an audit review meeting in which the audit team will synthesise findings and
develop their assessments; and
◗ a formal exit meeting in which the audit team presents its findings, including the
service’s compliance with each of the 26 KPIs.
Service consumer representatives must be given the opportunity to participate in all

steps of the on-site assessment.
5.3.1 Consumer consultation

All certification assessments will involve interviews with service consumers.
Certification bodies will liaise extensively with services in planning and preparing
for the consumer interviews. This could involve negotiating procedures for obtaining
consent and advising on the sampling strategy.
Given that it is not practical to speak with all consumers the certification body will
select a sample. The certification body is expected to observe the following
principles when sampling consumers for an audit:
◗ the certification body should select the sample of consumers to be interviewed;

◗ the sample should reflect the demographics of the consumers being assisted by
the service, taking into consideration disability type, gender, age, home or living
situation, cultural, religious or language differences, whether working or not
working, and length of tenure with the service (including those on a waiting list
and those exited); and
◗ the audit should be widely promoted so that any consumer who wants to has
the right to talk with any of the audit team members.
Although the focus of the consultation is on consumers, certification bodies will also
try to gather useful evidence from other key people including staff, consumers’
parents, carers, advocates, other workers in open employment and employers.
Procedure 18 requires the sample size of consumers be related to the total number
of consumers. If a service has 25 consumers the minimum sample size will be 5, if it
has 50 it will be 7, and if it has 100 consumers then 10.
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procedures
Of those, at least half should be interviewed individually face-to-face and the

remainder consulted by other means such as focus groups, telephone interviews,
written surveys or informal conversation (eg a factory walk-around).
5.3.2 Reviewing consumer files

Certification assessments will also involve reviewing consumer files to crosscheck
the verbal information gathered from consumers and to check implementation of
the disability employment service’s policies and procedures. Appropriate consent
should be obtained to ensure as many files as possible are available for review.
As a minimum the audit should involve a review of at least five consumer files.
5.3.3 On-site audit duration

The actual amount of time needed for the on-site audit will vary depending on the
service size, type (supported or open), and the communication abilities and support
needs of consumers.
Typically, an on-site audit of single-site service will take between two days (for
services with less than 30 consumers) and four days (for services with more than
100).
This is based on an eight-hour working day for a single auditor (including one hour
for lunch), and excludes all activities other than auditing (such as planning,
preparation, travel time and reporting). Where two or more team members work
together (say, an auditor plus a technical expert asking questions of the same
consumers) that time is counted as if a single auditor was involved.
5.3.3 Multi-site audits

Normally assessment for certification should take place at all the disability
employment service’s sites. However, where a service’s activities are carried out in a
similar manner at different sites, all under the service’s control, a certification
assessment can be undertaken at a sample of sites.
A multi-site disability employment service is defined as a service having a central
function (referred to as a central office) with authority to plan, control or manage
activities and a network of local offices or branches (sites) at which such activities
are carried out. This could include either services with multiple outlets performing
different business functions (eg both open and supported employment services) or
services with multiple outlets all performing similar activities at different sites.
For multi-site services, the certification bodies will use a formula to determine the
number of sites where assessments will take place. In all cases, the central office
will be visited. A service with a central office and nine sites would need
assessments at the central office and three sites.
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SECTION 5
5.4 Certification ratings

Certification assessments involve looking at service compliance against each of the
26 KPIs associated with the Disability Services Standards and providing a rating on
whether the requirements of each KPI are met. Each KPI will be rated according to
the following scale:
◗ Major nonconformity (rating is 0)

This means the requirements of a KPI are not met, or the outcome is ineffective.
A number of related non-conformities (see below) may also constitute a major
nonconformity.
◗ Nonconformity (rating is 1)
This means the requirements of a KPI are not fully met, or the outcome is only
partly effective. A number of related non-conformities may also constitute a
major nonconformity.
◗ Conformity (rating is 2)
This means the requirements of a KPI are met.
◗ Commendable (rating is 3)
This means the service demonstrates a high level of achievement, innovation,
creativity and continuous improvement in meeting the requirements of a KPI.
In addition, the certification body will provide an overall rating against each
Standard which will be rated the same as the lowest rating of any of its associated
KPIs.
5.5 Assessment reports
Services will receive a written report following each assessment. The report should:
◗ include ratings of conformity against each KPI and each Disabilities Services
Standard; and
◗ briefly describe the main evidence used to arrive at the ratings.
Reports may also include “observations” which could include positive feedback or
notes about opportunities for improvement. Such observations do not prevent
certification but should be carefully considered by management and addressed
wherever possible to ensure that conformity is not compromised in the future.
However, suggestions for addressing identified non-conformities will only be
provided in general terms to avoid any perception of consultancy.
Service providers should be given the chance to comment on the written report. It is
incumbent on the certification body to take the time to fully explain its audit
findings to the satisfaction of the service at the audit meeting and in the written
report. Audits must therefore be planned to allow sufficient time and resources for
these activities. “Tick-box” or largely proforma written reports will not be acceptable.
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procedures
5.6 Addressing non-conformities

Where one or more nonconformity is identified the service will be required to correct
it before being eligible for certification.
If a major nonconformity is identified, verification of its correction will involve a
follow-up visit by the certification body before certification. If the service is already
certified, evidence of a corrective action plan must be presented to the certification
body within five working days and a reassessment of the service against the
performance indicator is required within three months. Failure to act on the major
nonconformity within three months, or to reduce the major nonconformity to a
nonconformity will result in automatic suspension or withdrawal of certification. The
certification body is required to notify FaCS within 10 working days of raising a
major nonconformity.
If a nonconformity is identified, evidence of effective corrective action will need to
be presented to the certification body by the service before certification, or within
six months if the service is already certified. Failure to act on the nonconformity
within six months may lead to the nonconformity being upgraded to a major
nonconformity. In addition, a major nonconformity may be raised with the disability
employment services corrective action process.
Where needed, services may be able to seek support and advice from FaCS State
and Territory officers about ways addressing non-conformities (see Continuous
Improvement Handbook).
5.7 Certification decision

Certification body personnel not involved in the audit must make the decision on
certification based on the audit report.
5.8 Surveillance audits

The certification body is required to carry out annual surveillance audits of certified
services to verify they continue to comply with the certification requirements. These
will usually involve a one to two-day on-site visit.
Surveillance audits will typically cover:

◗ an interview with responsible management and consumer representatives;
◗ an assessment of the services’ management system (Standard 8) and
complaints and disputes procedures (Standard 7);
◗ the functioning of procedures for the periodic evaluation and review of
compliance with relevant legislation and regulations;
◗ progress of planned activities aimed at continuous improvement; and
◗ action taken on non-conformities identified during the last audit.
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SECTION 5
5.9 Reassessment audits

Reassessments of certified services are undertaken every three years. The purpose
of the reassessment is to verify in its entirety the continuing effectiveness of a
certified service and to examine the service’s commitment and actions towards
continuous improvement. The reassessment should review the system’s past
performance over the certification period.
Reassessment will generally takes as long as, and involve a similar level of
consumer consultation as, the initial assessment.
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Step-by-step guide to the QA system
6 Step-by-step guide to the QA system
This section provides a checklist for each step in the new system.
What you must know about the certification assessment procedures
Step Time frame Milestones/Notes
1 Registration Before 1 July 2002 (for ◗ all services have to register their
existing services) intent to be certified with FaCS.
Any changes to planned
certification dates need to be
negotiated with FaCS STO.
2 Preparing for Between 1 July 2002 ◗ internal audit
certification and expiry of transition
◗ plan consumer involvement in
period
audit process
(must be certified by 31
December 2004) ◗ participate in transitional audit
arrangements
(ie Section 14K audits) if required
3 Applying for At least nine months ◗ select certification body
certification before expiry of
◗ negotiate contract
transition period
◗ submit application for
certification
◗ confirm decision to proceed
4 Certification On-site dates negotiated ◗ liaise with certification body
assessment with certification body
◗ cooperate with audit team to
at least 6 months before
streamline audit activities
expiry of transition period
5 Certification Within three to six ◗ undertake corrective action (if
decision months of assessment non-conformities are identified)
(depending on whether
major non-conformities are ◗ celebrate certification!
identified) Decisions on
initial certification
assessments have to be
made before 31
December 2004
6 Preparing for Within 12 months of ◗ internal audit
surveillance initial assessment
◗ documentation of ongoing
audit
corrective action
7 Preparing for Within 36 months of ◗ internal audit
reassessment initial assessment
◗ documentation of continuous
improvement
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SECTION 6
6.1 Preparing for certification - checklist
Conduct an internal audit

(Ideally three to six months before certification assessment)
An internal audit is self-verification, in consultation with consumers, to see
whether you comply with the requirements of the Disability Services
Standards. An internal audit would normally involve:
◗ reviewing all your policies and procedures relevant to the Standards;

◗ consulting consumers and other stakeholders about the areas where
the service is meeting the Standards and areas where improvement is
needed; and
◗ documenting the sources of evidence that demonstrate the
achievements of the service and identifying priority areas for
improvements.
The records of any internal audits, including consumer participation, will

need to be made available to the certification body during an assessment.
One approach and guide for conducting an internal audit is provided in the
Continuous Improvement Handbook.
Plan consumer involvement in audit process

(Ongoing)
Services are required to inform their consumers about the certification
process and the requirements of the QA system as well as facilitating their
involvement in relevant audit activities. Independent support for those
consumers who need it will be available through the Consumer Training
and Support Program. (Refer to Attachment C for contact details.)
As part of assessments, auditors will assess the scope and quality of
consumer involvement (a requirement of Standard 3). It is important,
therefore, that service managers maintain appropriate records showing
how the certification process has been promoted and how consumers have
been encouraged to participate.
Participate in transitional audit arrangements

(As required)
Depending on the transitional arrangements negotiated during
registration, services may need to undertake self-assessments and
participate in Section 14K departmental audits (as per the old system).
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6.2 Applying for certification - checklist
Select a certification body

(Ideally three to six months before initial assessment)
Services can choose any accredited certification body to undertake their
assessments, and should do so well before the anticipated assessment
date. However, you are strongly encouraged to fully review the strengths
and weaknesses of a number of different certification bodies before entering
into a contract.
You should ask prospective certification bodies:

◗ whether they have been formally accredited by JAS-ANZ to assess
services against the Disability Services Standards. JAS-ANZ can confirm
accreditation status;
◗ their experience in auditing similar organisations (ask for references);
◗ their approach to consulting with consumers (eg how they would
interview consumers with significant intellectual and communication
disabilities);
◗ their complaints procedure;
◗ the composition of their audit teams and the audit duration;
◗ their fee structure and contractual arrangements; and
◗ their availability to undertake the audit;
◗ their audit team’s participation in the disability employment services
Auditor Training Program.
Selecting a certification body is a major decision and one well worth

investing as much time and energy into as possible. It is important to
commence the process of choosing a certification body. Certification bodies
often have audits booked weeks or months in advance, and your planned
certification date needs to take account of the availability of certification
body audit teams.
Submit application for certification

(Usually two to three months before initial assessment)
Certification bodies will require you to submit an official application form
signed by an authorised representative of the service. As a minimum they
will also require you to provide information about your organisation
(corporate entity, name, addresses, and legal status), your service and
activities; and a copy of the policies and procedures relevant to the
Disability Services Standards. Typically, submitting the application form
completes a contract with the certification body. It is likely that the contract
will cover arrangements for both the initial certification assessments and
subsequent surveillance audits.
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SECTION 6
Confirm decision to proceed with on-site assessment and agree on date

(Usually one month before certification assessment)
Services should not agree to proceed with the initial assessment until they
are clear about the assessment process as a whole and their roles and
responsibilities in it. The certification body is responsible for providing
detailed information about the assessment process, preparing a program for
the assessment and arranging the dates.
6.3 On-site certification assessment - checklist
Liaise with certification body

(Usually two to six weeks before certification assessment)
Before the assessment certification bodies will ask for information about
your consumers. They will also ask you to help arrange the consent of
consumers to being consulted during the assessment, and consent
allowing auditors access to consumer files. Given it is not practical to
speak with all consumers, the certification body will select a sample under
the following principles:
◗ the sample should reflect the demographics of the consumers being

assisted by the service, including consideration of disability type,
gender, age, home or living situation, cultural, religious or language
differences, whether working or not working, and length of tenure with
the service (includes those on a waiting list and those exited);
◗ the assessment should be widely promoted so all consumers have the
right to talk with any assessment team members they want to.
Of the selected consumers, at least half should be interviewed individually

face-to face and the others consulted through other means such as focus
groups, telephone interviews, written surveys or informal conversations (eg
a factory walk-around).
Other issues to be covered include the availability of managers and staff
during the assessment, and logistical arrangements for assessment activities.
Cooperate with audit team to streamline audit activities

(During two to four days of on-site audit)
The service will need to cooperate with the audit team to streamline a
range of audit activities including:
◗ the formal entry meeting;

◗ evidence gathering activities (such as facilitating interviews with staff);
and
◗ the formal exit meeting.
The service will also need to ensure that service consumer representatives
are given the chance to participate in all steps of the on-site assessment
including the entry and exit meetings.
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6.4 Certification results - checklist

If you received conformity or commendable ratings for all KPIs ...
Celebrate (... and start getting ready for the next audit!)
If you received a major nonconformity against one or more KPIs ...
Services seeking initial certification Services currently certified
◗ Corrective plan ◗ Corrective plan

(Within one month) (Within five working days)
Send a corrective action plan to the Send a corrective action plan to the
certification body describing the certification body describing the
action you will take to address the action you will take to address the
major nonconformity. major nonconformity.
◗ Follow-up visit ◗ Follow-up visit

(Within negotiated timeframe but (Within three months)
before December 2004) The certification body will conduct a
The certification body will conduct a follow-up visit to reassess the service
follow-up visit to reassess the against those KPIs rated with major
service against the KPIs rated with non-conformities.
major non-conformities. You will
need to negotiate the date for the
follow-up visit with the certification
body. Note: certification bodies may
require another full certification
assessment if major non-
conformities cannot be addressed,
typically within three
to six months.
◗ Follow-up visit result - conformity ◗ Follow-up visit result - conformity
Celebrate (…and start getting ready Celebrate (…and start getting ready
for the next audit!) for the next audit!)
Follow-up visit result – Follow-up visit result - nonconformity
nonconformity Adequate progress towards addressing
See comments above. You must the major nonconformity (without fully
address all non-conformities before addressing the requirements) will
certification. result in changing the result to a non-
conformity (see steps below).
Follow-up visit result – Follow-up visit result -
major nonconformity major nonconformity
Back to square one - most likely your Failure to act on the major non-
service will need another full conformity within three months will
certification assessment. result in automatic suspension of
certification.
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SECTION 6
If you received a nonconformity against one or more KPIs …
Services seeking initial certification Services currently certified
◗ Evidence of corrective action ◗ Evidence of corrective action

(Within negotiated timeframe but (Within six months)
before December 2004)
You may be asked to send a
You may be asked to send a corrective action plan to the
corrective action plan to the certification body describing the
certification body describing the steps you will take to address the
steps you will take to address the nonconformity. Either way, the
nonconformity. Either way, the certification body must verify that
certification body must verify that your implemented corrective
your implemented corrective action action is effective before
is effective before certification. This certification. This may require a
may require a follow-up visit, at the follow-up visit, at the certification
certification body’s discretion. body’s discretion.
◗ Follow-up visit result - conformity ◗ Follow-up visit result - conformity

Celebrate (... and start getting ready Celebrate (... and start getting
for the next audit!) ready for the next audit!)
Follow-up visit result - nonconformity Follow-up visit result -
Failure to act on the nonconformity nonconformity
within six months may lead you back Failure to act on the
to square one. Most likely your nonconformity within six months
service will need another full may lead to the nonconformity
certification assessment (see above). being upgraded to a major
nonconformity (see above).
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Links to continuous improvement
7 Links to continuous improvement
The continuous improvement component of the quality strategy for disability

employment services aims to support ongoing activities that increase service
providers’ abilities to fulfil the requirements of the Disability Services Standards.
As part of the continuous improvement process, service providers will be

encouraged to:
◗ plan continuous improvement activities as an integral part of service
development planning, including strategies for maximising consumer
participation;
◗ identify possible performance gaps and areas for improvement;
◗ set continuous improvement goals and priorities in areas where gaps have been
identified;
◗ implement strategies to address identified gaps and areas for improvement;
and
◗ participate in the ongoing discussions about what constitutes quality in service
provision.
FaCS is facilitating a range of information and support for the Continuous

Improvement strategy that includes:
◗ the Continuous Improvement Handbook

◗ the Continuous Improvement Ideas Development, Excellence and Support
(IDEAS) group. The IDEAS group aims to develop a range of good ideas that can
be used by other disability service providers to make aspects of their service
delivery easier, more effective, less costly or more efficient. Ideas can include
the simple and seemingly obvious as well as more expansive and innovative
proposals. More information is available at www.facs.gov.au/qa.
Certification bodies will be examining services progress in continuous improvement

at each reassessment and surveillance audit.
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Links to complaints and referrals
8 Links to the complaints and referrals mechanisms
The complaints and referrals component of the quality strategy will enable consumers
and service providers to raise and seek resolution of grievances and concerns.
The specific objectives of the complaints and referrals component are to:
◗ assist service providers and consumers to raise any concerns about certification
decisions or the certification process itself and seek appropriate resolution; and
◗ assist consumers to raise concerns about the service provider, the delivery of
services or other consumers within the service and seek appropriate resolution.
In practice, this will mean that in the first instance complaints or appeals about
accreditation/certification will be referred to the certification body’s complaint
handling process. If the issue cannot be resolved at that level the complainant may
seek assistance from JAS-ANZ. Further information is available from either JAS-ANZ
or the certification bodies.
Complaints from service users should be handled initially by the disability
employment service. If a service user is not satisfied with the results of the internal
complaints investigation or does not wish to use the service’s internal complaints
process, they can contact the Complaints Resolution and Referral Service (CRRS).
The CRRS will:
◗ attempt to resolve issues at the local level;

◗ make recommendations to assist in resolving the complaint;
◗ treat all parties to the complaint with dignity and respect and will be sensitive to
the needs of people with disabilities;
◗ give full reasons for decisions and information about further rights;
◗ use information from complaints to improve the CRRS and the delivery of
disability employment services.
Providers should also be aware of the National Disability Service Abuse and Neglect
Hotline. The Hotline is a single contact point for anyone to report claims of abuse
and neglect in government funded services.
Both the Complaints Resolution and Referral Service and the National Disability
Service Abuse and Neglect Hotline can be contacted as follows:
Telephone: FREECALL 1800 880 052
Telephone Typewriter (TTY): FREECALL 1800 301 130
National Relay Service (NRS): 1800 555 677
Telephone Interpreter Service: 131 450
Facsimile: 02 9318 1372
Postal Address: Locked Bag 2705
Strawberry Hills NSW 2012
The National Disability Services Abuse and Neglect Hotline has a website:
www.disabilityhotline.org
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Disability Services Standards and

Key Performance Indicators (KPIs)
9 Disability Services Standards

and Key Performance Indicators (KPIs)
This section provides an overview of the Disability Services Standards and the
KPIs for each Standard.
Section 10 provides detailed guidelines on the signposts and examples of
evidence that help to define the focus and scope of audit assessments against
each of the Standards and KPIs.
What you must know about the Disability Service Standards and the KPIs
◗ Certification assessments cover a revised set of 12 Disability Services

Standards, including two new Standards and the amalgamation of two
previous Standards.
◗ Service quality is specified in terms of 26 key performance indicators
across the 12 Standards. These replace the 101 supporting standards
under the old system.
◗ All KPIs and Standards must be met to achieve certification.
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SECTION 9
9.1 Disability Services Standards

A decision by a certification body to grant certification is based on an assessment of
disability employment services against the 12 Disability Services Standards.
The Disability Services Standards define the Government’s requirements for service
quality, and directly link to each funded service’s core processes and outcomes. The
Standards can be grouped around five key areas.
Values and principles

Having the right approach to working with clients
1. Service access - Each person with a disability who is seeking a service has
access to a service on the basis of relative need and available resources.
4. Privacy, dignity and confidentiality - Each service recipient’s right to privacy,
dignity and confidentiality in all aspects of his or her life is recognised and
respected.
12. Protection of human rights and freedom from abuse - The service provider
acts to prevent abuse and neglect and to uphold the legal and human rights
of service recipients.
6. Valued status - Each person with a disability has the opportunity to develop
and maintain skills and to participate in activities that enable him or her to
achieve valued roles in the community.
Service outcomes
Having the right end result for clients
9. Employment conditions - Each person with a disability enjoys working

conditions comparable to those of the general workforce.
5. Participation and integration - Each person with a disability is supported
and encouraged to participate and be involved in the community.
Service delivery
Having the right processes for helping clients to get a job and/or supporting them in
employment
2. Individual needs - Each person with a disability receives a service that is

designed to meet, in the least restrictive way, his or her individual needs
and personal goals.
3. Decision making and choice - Each person with a disability has the
opportunity to participate as fully as possible in making decisions about the
events and activities of his or her daily life in relation to the service he or she
receives.
7. Complaints and disputes - Each service recipient is encouraged to raise, and
have resolved without fear of retribution, any complaints or disputes he or
she may have regarding the service provider or the service.
Extract page

10. Service recipient training and support - The employment opportunities of

each person with a disability are optimised by effective and relevant training
and support.
Service Management
Having the right elements to direct and control the organisation (eg corporate
governance, management reviews/internal audits, policies and procedures).
8. Service management - Each service provider adopts quality management

systems and practices that optimise outcomes for service recipients.
Staff Recruitment, Employment and Training

Having the right staff to do the work
11. Staff recruitment, employment and training - Each person employed to

deliver services to a person with a disability has relevant skills and
competencies.
The criteria used to assess compliance with each of the 12 Standards are defined in
terms of key performance indicators which are derived from the Standards and
clarify their meaning with regard to the disability employment sector. They are
intended to focus on service recipient outcomes and provide an accurate and
objective measure of service quality.
There are 26 performance indicators for the new QA system and to gain certification,
funded services are required to demonstrate compliance with all of them.
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SECTION 9
9.2 Key performance indicators
Standard 1: Service access

Each person with a disability who is seeking a service has access to a service on the
basis of relative need and available resources
KPI 1.1 The service provider adopts and applies non-discriminatory entry rules in
respect of age, gender, race, culture, religion or disability, consistent with
the contractual obligations and purpose of the service.
KPI 1.2 The service provider’s entry and exit procedures are fair and equitable and
consistently applied.
Standard 2: Individual needs
Each person with a disability receives a service that is designed to meet, in the least
restrictive way, his or her individual needs and personal goals
KPI 2.1 Each individual’s employment goals are established objectively to reflect
his or her needs and personal goals.
KPI 2.2 Each individual’s employment goals are used as a basis for service
provision, with the service provider undertaking a process of planning,
implementation, review and adjustment to facilitate the achievement of
these goals.
KPI 2.3 Services are delivered to meet each individual’s employment goals
through pathways and plans that do not have any unnecessary restrictions
or constraints.
Standard 3: Decision making and choice
Each person with a disability has the opportunity to participate as fully as possible
in making decisions about the events and activities of his or her daily life in relation
to the service he or she receives.
KPI 3.1 The service provider provides appropriate and flexible opportunities for
each individual to participate in decision-making at all levels, including
individual choices in pre-employment and employment planning, service
delivery planning and corporate and business planning.
KPI 3.2 The service provider acts upon the outcomes of service recipient input into
decision-making.
Standard 4: Privacy, dignity and confidentiality
Each service recipient’s right to privacy, dignity and confidentiality in all aspects of
his or her life is recognised and respected.
KPI 4.1 The service provider complies with the Information Privacy Principles of
the Privacy Act 1988 in order to protect and respect the rights of individual
service recipients. The service provider does not disclose personal
information about service recipients without their informed consent.
KPI 4.2 The service provider promotes tolerance and respect for each service
recipients’ personal needs and circumstances.
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Standard 5: Participation and integration

Each person with a disability is supported and encouraged to participate and be
involved in the community.
KPI 5.1 The service contributes to individual outcomes for service recipients that
progressively builds opportunities for their participation and involvement
in the community through employment.
Standard 6: Valued status
Each person with a disability has the opportunity to develop and maintain skills and
to participate in activities that enable him or her to achieve valued roles in the
community.
KPI 6.1 The service promotes the belief and ability of service recipients to fulfil
valued roles in the community.
KPI 6.2 The service promotes employment opportunities for service recipients to
fulfil valued roles in the community.
KPI 6.3 The service develops and maintains service recipients’ skills relevant to
their roles in the community.
Standard 7: Complaints and disputes
Each service recipient is encouraged to raise, and have resolved without fear of
retribution, any complaints or disputes he or she may have regarding the service
provider or the service.
KPI 7.1 The service provider encourages the raising of complaints by service
recipients regarding any areas of dissatisfaction with the service provider
and the service.
KPI 7.2 Service recipients have no fear of retribution in raising complaints.
KPI 7.3 The service provider facilitates the resolution of complaints or disputes by
service recipients regarding the service provider and the service.
Standard 8: Service management
Each service provider adopts quality management systems and practices that
optimise outcomes for service recipients.
KPI 8.1 The service provider has management systems in place that facilitate
quality management practices and continuous improvement.
Standard 9: Employment conditions
Each person with a disability enjoys working conditions comparable to those of the
general workforce.
KPI 9.1 The service provider ensures that people with a disability, placed in open
or supported employment, receive wages according to the relevant award,
order or industrial agreement (if any) (consistent with legislation). A Wage
must not have been reduced, or be reduced, because of award exemptions
or incapacity to pay or similar reasons and, if a person is unable to work at
full productive capacity due to a disability, the service provider is to ensure
that a pro-rata wage based on an award, order or industrial agreement is
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SECTION 9
paid. This pro-rata wage must be determined through a transparent

assessment tool or process, such as Supported Wage System (SWS), or
tools that comply with the criteria referred to in the Guide to Good Practice
Wage Determination including:
◗ compliance with relevant legislation;
◗ validity;
◗ reliability;
◗ wage outcome; and
◗ practical application of the tool.
KPI 9.2 The service provider ensures that, when people with a disability are placed
in employment, their conditions of employment are consistent with
general workplace norms and relevant Australian Government and State
legislation.
KPI 9.3 The service provider ensures that, when people with a disability are placed
and supported in employment, they, and if appropriate, their guardians
and advocates, are informed of how wages and conditions are determined
and the consequences of this.
Standard 10: Service recipient training and support
The employment opportunities of each person with a disability are optimised by
effective and relevant training and support.
KPI 10.1 The service provider provides or facilitates access to relevant training and
support programs that are consistent with the employment goals and
opportunities of each service recipient.
Standard 11: Staff recruitment, employment and training
Each person employed to deliver services to a person with a disability has relevant
skills and competencies.
KPI 11.1 The service provider identifies the skills and competencies of each staff
member.
KPI 11.2 The service provider ensures that its staff have relevant skills and
competencies.
KPI 11.3 The service provider ensures the provision of appropriate and relevant
training and skills development for each staff member.
Standard 12: Protection of human rights and freedom from abuse
The service provider acts to prevent abuse and neglect and to uphold the legal and
human rights of service recipients.
KPI 12.1 The service provider takes all practical and appropriate steps to prevent
abuse and neglect of its service recipients.
KPI 12.2 The service provider upholds the legal and human rights of its service
recipients.
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CONTENTS
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Evidence guidelines
10 Evidence guidelines
The evidence guidelines presented for each Standard and key performance indicator
contains:
◗ Policy and program context for disability employment services

Each Standard contains a statement about the policy and program context of the Standard
for disability employment services. This statement is intended to highlight the strategic
intent and key features of the Standard. Over time these statements will be updated to
reflect new policy or program initiatives or changed stakeholder expectations.
◗ Core evidence question
Each KPI contains a single evidence question that audit teams are expected to focus
on - that is, the ultimate question that certification bodies have to answer to
determine whether a service is meeting a particular requirement (KPI) of a Standard.
◗ Signposts
Signposts, as the name suggests, are the things that audit teams might look at to
answer the core evidence question. However, they are not a compliance checklist.
Different signposts will have greater relevance for some services than others and
different audit teams will place greater emphasis on some signposts than others.
Signposts simply point to some of the directions an audit might take under any KPI.
In broad terms the signposts are designed to cover seven generic “levels” of
evidence that may be relevant to consider for each KPI:
◗ Are the service’s documented policies and procedures in accordance with the
Standard?
◗ Are the consumers aware of and understand the policies and procedures
relevant to their needs?
◗ Is the staff aware of and understand the policies and procedures relevant to
their activities and responsibilities?
◗ Can staff demonstrate they follow policies and procedures relevant to their
activities and responsibilities?
◗ Does management have records and documents to show that the service follows
the policies and procedures?
◗ Does management have records to show that the service achieves the relevant
outcomes in accordance with each Standard?
◗ Do consumers independently confirm that the service follows the relevant
policies and procedures and achieves the relevant outcomes?
◗ Some examples of evidence
Possible examples of evidence to demonstrate compliance with the KPI are also
provided. As examples, their relevance for individual services will vary, and
adopting isolated examples will not guarantee compliance. Over time it is hoped
additional examples can be collated as prompts to help services identify strategies
for demonstrating their compliance.
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SECTION 10
Evidence guidelines
Standard 1: Service Access

Each person with a disability who is seeking a service has access to a service on the
basis of relative need and available resources
Policy and program context for disability employment services
Service access is about how a person can enter a disability employment service
and the circumstances in which they can exit from, or no longer have access to,
the service.
In terms of entry, the service will need to define their:

◗ target group - the group of people whose needs the service is designed or
funded to meet, potentially specifying characteristics, such as age,
geographical location and the type of needs which can be met;
◗ eligibility criteria - the criteria for determining whether a person is part of
the service’s target group and therefore eligible to apply to enter the
service; and
◗ entry process - the basis for deciding between applicants when there are
more people who want to use the service than there are vacancies
available.
Services must be able to demonstrate that their entry processes are non-
discriminatory in respect of age, gender, race, culture, religion or disability. This
means that the service’s eligibility criteria must not contain any restrictions on
entry other than those defined by the service’s target group and contractual
obligations. Similarly, the service’s process for allocating priority between
eligible applicants should only be based on the relative needs of applicants and
the service’s available resources.
In terms of exit processes, your service might need to consider:

◗ the circumstances in which consumers can voluntarily leave the service,
for example, when they have gained employment or their needs have
changed;
◗ the circumstances in which consumers can be required to leave the service
and the basis on which such decisions may be made, for example, when
the service can no longer meet their needs;
◗ your service’s approach to referrals to other services;
◗ what happens to personal information about a consumer when he or she
leaves the service; and
◗ how the consumer will be involved in decisions about any of these steps.
Standard 1 aims to ensure that entry and exit procedures are fair and equitable
and consistently applied.
Extract page
Core evidence questions Signposts Some examples of evidence
KPI 1.1 The service provider adopts and applies non-discriminatory entry rules in respect of age, gender, race, culture, religion or disability, consistent with the
contractual obligations of the service provider and purpose of the service
Is the service proactive in Eligibility criteria ◗ documented eligibility criteria which do not contain any restrictions other than those defined
ensuring the rules for entry to by the service’s target group and FaCS contractual obligations
the service do not Consumer and referral agency awareness of ◗ presence of demographic information/Census details and match of this to consumer mix
discriminate against any the rules for entry to the Service ◗ services mission statement
consumers who meet the ◗ examples of publicly available information about the service which contains details of the eligibility criteria
eligibility criteria? ◗ information sheets available in a variety of formats suited to the needs of consumers and
referral agencies (eg information in different community languages)
◗ information sheets which contain explicit statements about non-discrimination
Application forms/applicant interviews ◗ forms/interviews only collect information relevant to the eligibility criteria
◗ records of assessments include factors considered, reasons for the decision
Proactive strategies to avoid indirect ◗ minutes of meetings with referral agencies/consumer groups to discuss the
discrimination representativeness of the service’s mix of clients and to identify under-represented groups
◗ Business Plan contains strategies for targeting ‘difficult to reach’ or under-represented groups
KPI 1.2 The service provider’s entry and exit procedures are fair and equitable and consistently applied
Are the service’s entry and exit Entry procedure ◗ documented procedure for entry to the service (application, assessment, offer)
procedures fair and equitable, ◗ documented rules for deciding between applicants when there are more people who want to
and consistently applied? use the service than there are vacancies available
◗ documented procedure for exiting the service (permanent or temporary withdrawal of service, cessation)
Exit procedure
including the process for dealing with exit decisions made without consumer agreement or consent
◗ case notes document exit decisions including factors considered, reasons for the decision, and
the actions arising from the decision
◗ “SU 500” Return to Centrelink forms of acceptance/non-acceptance for details
Proactive strategies for promoting entry and exit ◗ Consumer Handbook
procedures to consumers ◗ articles in newsletter
◗ consumer/advocate feedback on clarity of entry and exit procedures
Staff understanding of entry and exit procedures ◗ staff can accurately describe entry and exit procedures and how they are used
Management monitoring of implementation of ◗ internal audit report
entry and exit procedures ◗ minutes of planning meetings to review procedures
Consumer perceptions of entry and exit procedures ◗ consumer feedback on the fairness and consistency of entry and exit procedures
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SECTION 10
Evidence guidelines
Standard 2: Individual needs

Each person with a disability receives a service that is designed to meet, in the least
restrictive way, his or her individual needs and personal goals
Service recipients are entitled to receive services that are tailored to their
individual needs and personal goals. In the context of disability employment
services, this means that each service recipient should have:
◗ individual employment goals;
◗ an individual employment plan which details strategies for the
achievement of their goals; and
◗ documented behavioural support strategies, if required.
The concept of the “least restrictive alternative” represented a fundamental

shift in the way services would be delivered to people with significant
disabilities following the introduction of the Disability Services Act in 1986. This
concept embodied within this Standard is about promoting a range of service
types which allows a person to select services in ways that result in the least
possible restrictions on his or her life and opportunities. Following on from this,
services should ensure that support is provided in a manner sensitive to the
age, sex, and the cultural, linguistic and religious background of each person
with a disability.
Under Standard 2, services are expected to ensure that:

◗ employment goals are established objectively to reflect service recipient’s
needs and personal goals;
◗ employment plans are used as a basis for customised service provision
and that the plans are regularly reviewed and updated;
◗ individuals’ goals and plans do not have any unnecessary restrictions or
constraints;
◗ service recipients have access to appropriate information about the
service’s business goals and the potential or actual restrictions that this
may place on individual’s goals and plans;
◗ service recipients are adequately involved in the development and review
of employment goals and plans; and
◗ individual behavioural and communication plans are developed to
address individual need and that the plans are reviewed and updated on a
regular basis.
Core Evidence Questions Signposts Some examples of evidence
Extract page
KPI 2.1 Each individual’s employment goals are established objectively to reflect his or her needs and personal goals
Procedure for establishing each consumer’s ◗ documented procedure includes a range of tools (eg vocational skills testing, career guidance tools, work trials, involvement of
Does the service objectively
employment goals advocates, and Disability Pre-employment Instrument and Disability Maintenance Instrument for case based funded case seekers)
establish each consumer’s
employment goals? ◗ records of employment goals show a clear link between employment goals and consumer’s stated needs and personal
goals, including type of work and timeframe for achieving work goals
Strategies for ensuring consumers are ◗ ‘signed-off’ employment goals are included in all employment plans
actively involved in establishing ◗ examples of advocate involvement/interpreters/family/guardian in establishing employment goals
employment goals ◗ staff can describe practical examples and strategies they use to promote the active involvement of consumers in goal setting
Procedure for negotiating changes to ◗ employment plans have records of goal reviews (continuing relevance of goals; alternatives discussed; link to wage
employment goals assessment, agreements reached, career development and changing support requirements)
Consumer perceptions ◗ consumer feedback on the extent to which negotiated employment goals reflect needs and personal goals
KPI 2.2 Each individual’s employment goals are used as a basis for service provision, with the service provider undertaking a process of planning,
implementation, review and adjustment to facilitate the achievement of these goals
Does each consumer have a Individual employment plans ◗ individual plans reflect employment goals and include strategies for the achievement of these goals
realistic and up-to-date plan Consumer involvement in identifying ◗ individual plans include lists of employment opportunities identified/considered
for the achievement of their employment opportunities ◗ staff can describe how they support and involve individuals in identifying employment opportunities
employment goals?
Strategies for explaining the scope of ◗ staff can describe how they explain to consumers the scope of service activities and expertise and the restrictions this
available services to consumers places on the services which are available to facilitate the achievement of employment goals
Reviews of individual employment plans ◗ records of changes to plans after reviews (success of strategies; alternatives approaches; agreements reached)
Consumer perceptions ◗ consumer feedback on the level of involvement in identifying employment opportunities
Appropriate and evident use of the DPI and ◗ consumer sign off on plan
DMI by service providers to develop and
◗ Documented evidence validates and supports the assessments of disability-related support requirements recorded in the
review individual employment plans under
individual's Disability Pre-employment Instrument (DPI)/Disability Maintenance Instrument (DMI)
case based funding arrangements
KPI 2.3 Services are delivered to meet each individual’s employment goals through pathways and plans that do not have any unnecessary restrictions or constraints
Does the service ensure there Management and staff commitment to ◗ individual employment plans are sufficiently different to provide confidence that they have been tailored to each
are no unnecessary ensuring there are no unnecessary individual’s employment goals
restrictions or constraints on restrictions or constraints on the services ◗ staff knowledge of unique issues for different consumer groups (eg Indigenous, consumers from non-English speaking backgrounds)
the services delivered to meet delivered
◗ cultural awareness/diversity training
each individual’s employment Cultural diversity
goals? ◗ employment of bilingual, bicultural or indigenous support workers
◗ employment plans consider cultural/linguistic/religious issues where appropriate (discussion of cultural issues; agreements reached)
◗ records of changes to employment plans after reviews (discussions of the appropriateness of opportunities; possible
Alignment between employment alternatives; agreements reached)
opportunities and individual employment ◗ consumer feedback on the extent to which the services they receive are responsive to their needs and employment aspirations
goals
◗ consumer feedback about their satisfaction with the level of choice they have about how services are delivered to meet their needs
Consumer perceptions
◗ evidence of management strategies to support people who have behavioural support needs
That there are skill development and
◗ clear policies outlining the service’s response to people with behavioural support needs, that includes a list of prohibited
management strategies for people who practices (such as restraint) that will not be used and highlights the productive strategies that may be implemented (such
have behavioural support needs as the use of reinforcement, environmental changes etc)
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SECTION 10
Evidence guidelines
Standard 3: Decision making and choice

Each person with a disability has the opportunity to participate as fully as possible
in making decisions about the events and activities of his or her daily life in relation
to the service he or she receives
Employment outcomes are best achieved where consumers have input into the
decision and choices about the services they receive. This primarily refers to
the day-to-day decisions and choices in relation to pre-employment and
employment planning, but extends to input into the broader planning for the
service.
Consumer participation in decision-making and choice does not mean that
consumers make the decisions. Rather the emphasis is on utilising the unique
skills and insights of consumers to improve the quality of these decisions and
choices.
Key areas for consumer participation are:

◗ planning the services they receive as an individual (eg individual choices
about pre-employment and employment opportunities);
◗ planning the overall priorities and direction of the service (eg corporate,
business and service delivery planning); and
◗ quality assurance and continuous improvement processes (eg
participation in the consumer consultations as part of an audit).
Within each of these areas, services are expected to:
◗ ensure that service recipients have access to appropriate information
about opportunities for consumer participation;
◗ ensure that service recipients are encouraged and supported to access
these opportunities; and
◗ act upon the outcomes of service recipient input into decision-making.
Specifically, in relation to the new system, services will be expected to:
◗ develop suitable processes for communicating with and educating all
consumers about the audit process and the system;
◗ promote and implement measures that support the participation of
consumers in the consultation activities of certification assessments with
particular consideration given to supporting the participation of “difficult
to reach” groups; and
◗ develop suitable mechanisms for ensuring consumer representation in
audit preparation activities (eg internal audits) and certification
assessment and reporting processes (eg training of a panel of consumer
representatives who attend the exit meeting and feedback the findings to
other consumers).
Extract page
KPI 3.1 The service provider provides appropriate and flexible opportunities for each individual to participate in decision-making at all levels, including
individual choices in pre employment and employment planning, service delivery planning and corporate and business planning
Does the service provide Proactive strategies for encouraging and ◗ management and staff can describe a broad range of formal and ad hoc opportunities for consumer
appropriate and flexible supporting consumer input into decision- input into decision-making
opportunities for all consumers making ◗ examples of publicly available information which contains statements about the service’s
to participate in decision- commitment to consumer input into decision-making
making processes? Consumer participation in pre-employment ◗ employment plans
and employment planning
Consumer participation in service and ◗ minutes of planning/Board/management meetings
business planning ◗ newsletters
◗ minutes of Consumer Representative Committee
◗ consumer involvement at Board/management level
◗ support for consumers in meetings procedures
Consumer participation in quality assurance ◗ number and diversity of consumers willing to participate in the consumer consultations during
and continuous improvement activities certification assessments
Consumer perceptions ◗ training/information for consumers about Disability Services Standards
◗ consumer involvement in internal audits
Consumer participation in pre-employment ◗ consumer feedback on opportunities for individual choices in pre-employment and employment decisions
and maintenance assessment processes for ◗ consumer feedback on the appropriateness and flexibility of opportunities for inputs into decision-
case based funding and development and making processes
review of employment plans.
◗ Evidence indicates that consumers have been: consulted on their support needs; engaged in pre-
employment activities to explore support needs in practical work-related situations; involved in DPI/
DMI assessment processes; active participants in the preparation and review of employment plans
KPI 3.2 The service acts upon the outcomes of service recipient input into decision-making
Does the service act upon the Communication of outcomes of decision-making ◗ signed-off’ decisions in individual employment plan
outcomes of consumer input processes ◗ staff can give examples of the practical steps they use to communicate the outcomes of decision-
into decision-making making processes to consumers
Examples of service delivery / business decisions ◗ management can provide a range of examples of how consumer input influenced specific service
delivery/business decisions/opportunities for improvement
Consumer perceptions ◗ consumer feedback about whether the service adequately communicates the outcomes of decision-
making processes
◗ consumer feedback about whether the service adequately considers consumer input when making decisions
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SECTION 10
Evidence guidelines
Standard 4: Privacy, dignity and confidentiality

Each service recipient’s right to privacy, dignity and confidentiality in all aspects of
his or her life is recognised and respected
Each service is expected to promote tolerance and respect for consumers’ personal
needs and circumstances. This relates not just to a service’s legal obligations in the
area of privacy, but more fundamentally to the values demonstrated by the service
in interacting and communicating with consumers. This includes:
◗ use of language and terminology within the organisation;

◗ how staff communicate with consumers;
◗ how staff conduct their dealings with consumers (for example, where
physical assistance is required, it is provided in such a way as to respect
and promote the individual’s dignity, or where challenging behaviours are
displayed these are dealt with well); and
◗ how consumers collaborate in service planning and delivery (see Standard 3).
In terms of legal compliance, consumers have a right to privacy and

confidentiality consistent with the National Privacy Principles contained in the
Privacy Amendment (Private Sector) Act 2000.
Service providers should be familiar with the National Privacy Principles which
cover, among other things, requirements in relation to:
◗ Collection - the service should only collect personal information if that

information is necessary for one or more of its functions or activities. The
service must take reasonable steps to ensure that the individual is aware
of the fact that he or she is able to gain access to the information and the
purposes for which the information is collected;
◗ Use or disclosure - the service must not use or disclose personal information
about an individual for a purpose other than the primary purpose of
collection unless the individual has consented to the use or disclosure;
◗ Data quality - the service must take reasonable steps to make sure that the
personal information it uses or discloses is accurate, complete and up-to-date;
◗ Data security - the service must take reasonable steps to protect the
personal information it holds from misuse and loss and from unauthorised
access, modification or disclosure;
◗ Openness - the service must set out in a document, clearly expressed
policies on its management of personal information; and
◗ Disposal - the service must destroy or permanently deidentify personal
information if it is no longer needed for any purpose for which it was
collected. Destruction of personal information must be conducted under
secure conditions.
Extract page
KPI 4.1 The service provider complies with the Information Privacy Principles of the Privacy Act 1988 in order to protect and respect the rights of individual
service recipients. The service provider does not disclose personal information about service recipients without their informed consent.
Does the service ensure that Privacy and confidentiality policies and
◗ service has a copy of the Privacy Act 1988
personal information is handled in procedures
◗ documented privacy and confidentiality policies that address, as a minimum, data collection, use/disclosure, security, quality
a manner consistent with the
and disposal
Australian Government Privacy
Principles?
◗ records of data disclosure and disposal
Proactive strategies for promoting privacy and
◗ management can describe the steps taken to promote consumer awareness of privacy and confidentiality (eg explaining why
confidentiality policies to consumers
information is collected and how it may be used)
Staff understanding of privacy and confidentiality ◗ consumer/advocate feedback on clarity of privacy and confidentiality procedures
procedures ◗ staff can accurately describe procedures and how they are used (eg how they obtain informed consent)
Practical implementation of privacy and ◗ records of attendance at training/staff development sessions on privacy
confidentiality procedures ◗ observation during audit that personal information is stored securely (eg client files securely bound, files stored in locked
cabinets, no files left on desks)
◗ Security of hard copy and electronic records
◗ signed and informed consent/authority to release forms
◗ consumer feedback on the extent to which they feel the service respects and protects their rights to privacy and confidentiality
KPI 4.2 The service provider promotes tolerance and respect for each service recipient’s personal needs and circumstances
Does the service accept and Management and staff commitment to tolerance ◗ examples of publicly available information about the service which contains statements of the services commitment
promote tolerance and respect and respect to tolerance and respect
for each consumers’ personal ◗ staff ‘Code of Conduct’
needs and circumstance Proactive strategies to promote tolerance and ◗ observations during audit of how staff talk and relate to consumers
respect for individual needs and circumstances ◗ records of attendance at training/staff development sessions on handling challenging/difficult behaviour
Proactive strategies to promote cultural/ethnic/ ◗ records of staff attendance at Indigenous cultural awareness training
religious sensitivity ◗ observations during audit of culturally-diverse posters and literature
Consumer perceptions ◗ Supporting information in Consumers’ Handbook or brochure
◗ consumer feedback on whether they feel respected and treated with dignity
◗ availability of private rooms for confidential discussions
People with challenging behaviours are dealt with ◗ availability of lockers
appropriately
◗ personal care/toileting facilities respect dignity and confidentiality of consumers
◗ staff practice in behaviour management is aimed at changing behaviour and is not demeaning or degrading to the
service recipient
◗ clear policy outlining features of behavioural support and listing prohibited practices (such as restraint), and that
include productive strategies aimed at changing a person’s pattern of behaviour (eg use of reinforcement,
environmental changes, teaching alternative behaviour)
◗ evidence of management plans to overcome inappropriate behaviours
◗ consumer opinion on how they have been dealt with
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SECTION 10
Evidence guidelines
Standard 5: Participation and integration
Each person with a disability is supported and encouraged to participate and be

involved in the community
The Australian Government recognises that the quality and sustainability of

employment outcomes for people with a disability are enhanced by physical
and social integration with other employees without a disability. While the
capacity of services to facilitate such integration varies depending on the
nature of their business, all services have a responsibility to respond to barriers
that limit opportunities for physical and social integration.
A holistic approach to service delivery recognises the importance of both
immediate employment outcomes and the barriers that limit the range of
available employment opportunities. In practice, this means that individual
employment plans should have references not just to the barriers that impact
on immediate employment goals and opportunities, but on the sustainability of
these opportunities. Regular reviews of employment goals and opportunities
are needed to ensure consumers are supported in making informed choices
about either continuing with existing employment opportunities or pursuing
alternative employment opportunities which offer greater physical and social
integration with people without a disability.
The capacity of a service to offer employment opportunities which support
greater physical and social integration will vary depending on their contractual
obligations and the purpose of the service. Consumers will need to have access
to appropriate information about the scope of opportunities that a service is
able to offer so they can make informed decisions about whether a service will
meet their needs.
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KPI 5.1 The service contributes to individual outcomes for service recipients that progressively builds opportunities for their
participation and involvement in the community through employment
Is the service successful in Management and staff commitment to ◗ records of employment outcomes
achieving quality employment achieving quality employment outcomes ◗ examples of publicly available information about the service which contains statements about
outcomes for service recipients, the type of employment outcomes sought for consumers
which facilitates their ◗ individual employment plans include strategies for addressing barriers that limit consumer’s
Individual employment plans
participation and involvement in employment opportunities (eg self-confidence; communication skills)
the community?
Proactive strategies for promoting a wide ◗ staff can describe practical examples and strategies they use to promote a wide range of
range of employment opportunities to employment opportunities to consumers
consumers ◗ records of contacts with potential employers
◗ programs in place for networking
◗ employment plans have details of reviews of employment opportunities (alternative
Review of each consumer’s employment opportunities discussed; options explored for greater physical and social integration with
opportunities (at least annually) people without a disability; consumer views; agreements reached)
◗ consumer feedback about the contribution of the service to the achievement of employment outcomes
Consumer perceptions ◗ consumer feedback about the quality of employment outcomes
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SECTION 10
Evidence guidelines
Standard 6: Valued status

Each person with a disability has the opportunity to develop and maintain skills and
to participate in activities that enable him or her to achieve valued roles in the
community
Service providers are required to deliver their services in a way that enables
a person with a disability, as far as possible, to live and work in ways that
are valued by the community.
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KPI 6.1 The service promotes the belief and ability of service recipients to fulfil valued roles in the community
Does the service promote the Management and staff attitudes about the ◗ examples of publicly available information about the service which promotes the belief and
belief and ability of consumers ability of consumers to fulfil valued roles in ability of consumers to fulfil valued roles in the community
to fulfil a valued role in the the community ◗ results of a survey of staff options and attitude about people with a disability
community? Proactive strategies for promoting a valued role ◗ staff selection criteria includes the requirement that applicants demonstrate “critical insights
in the community for people with a disability about and empathy with the experience of people with a disability”
◗ staff can describe practical examples and strategies they use to promote the valued status of
consumers
◗ observations during audit of how staff talk and relate to consumers
◗ correspondence with potential employers highlights that the service promotes a consumer’s
Consumer perceptions skills rather than seeking ‘charity’
◗ consumer feedback on whether they feel the service promotes the valued status of consumers
◗ results of consumer surveys
◗ recognition of achievements
◗ information on display/noticeboards
KPI 6.2 The service promotes employment opportunities for service recipients to fulfil valued roles in the community
Does the service promote a Staff and management awareness of a wide ◗ staff and management can describe the range of employment opportunities they explore with consumers
wide range of employment range of employment opportunities/positions ◗ list of organisations/positions where employment opportunities have been sought / found
opportunities for individuals? Proactive strategies for promoting a wide range ◗ staff can describe practical examples and strategies they use to promote a wide range of
of employment opportunities to consumers employment opportunities to consumers
Review of each consumer’s employment ◗ employment plans have details of reviews of employment opportunities (opportunities discussed;
opportunities consumer views; agreements reached)
KPI 6.3 The service develops and maintains service recipients’ skills relevant to their roles in the community
Does the service develop and Employment plans ◗ individual employment plans include strategies for developing or maintaining pre-
maintain consumers’ pre- employment competencies (eg self-confidence; communication skills; job search skills)
employment competencies ◗ examples of individual employment plans where referrals have been made to other agencies
Linkages between the service and
relevant to roles in the to develop or maintain specific pre-employment competencies
appropriate referral agencies
community?
Consumer perceptions ◗ consumer feedback on the contribution of the service to the development or maintenance of
pre-employment competencies
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SECTION 10
Evidence guidelines
Standard 7: Complaints and disputes

Each service recipient is encouraged to raise, and have resolved without fear of
retribution, any complaints or disputes he or she may have regarding the service
provider or the service

It is essential to ensure there is an accessible and effective complaint
process available for people with disabilities using disability employment
services. An important consideration in complaint processes is that
consumers, because of their life circumstances, are a particularly
disempowered group and therefore less likely to make a complaint.
Services should have an internal complaint mechanism that provides:
◗ Commitment at all levels of the organisation. This can be demonstrated through
effective dissemination of policies and procedures that recognise the positive
and important role of complaints to increase the level of consumer satisfaction,
enhance the consumer provider relationship and provide insights to continuously
improve the service;
◗ Fairness to all concerned, including the complainant, the organisation and the person
complained about. This would include availability of advocacy services or other
means to ensure that the complainant can make the complaint effectively and does
not suffer retribution or intimidation as a result;
◗ Accessibility. The information about the process should be readily accessible in a
variety of appropriate formats (including plain English and other languages
where appropriate) and be promoted both internally and externally. There should
be flexible methods of making complaints with assistance available to
complainants as necessary. This element is particularly important for a system,
which is dealing with a vulnerable and disempowered client group;
◗ Responsiveness. The process should provide full, impartial and timely
investigation of all aspects of the complaint and provide fair and reasonable
remedies where warranted;
◗ Effectiveness. The mechanism must be able to address individual complaints and
use the information collected to improve overall service delivery and to address
systemic and recurring problems.
It should be reviewed regularly to ensure that it is meeting consumers’ needs;
◗ Openness and accountability. So consumers can judge for themselves whether
the system is working effectively;
◗ Privacy, dignity and confidentiality. Complaint handling must maintain the values
and principles outlined in Standard 4;
◗ External referral where a complaint can not be resolved by the internal process.
This may involve an alternative dispute resolution procedure such as mediation,
or referral to another appropriate avenue for resolving the complaint, such as an
appeal procedure or other legal remedy;
◗ Cooperation with external complaint resolution services (where a consumer has
approached such a service) in the investigation of complaints. Employment
services are expected to act upon recommendations made by the independent
Complaint Resolution and Referral Service. Further disability employment services
are expected to promote the Complaint Resolution and Referral Service, refer
unresolved complaints to it, and assist it in its investigations (including providing
policy and procedural documentation when requested, access to premise etc).
◗ Its should be noted that the National Disability Service Abuse and Neglect Hotline
is available to report abuse and neglect of people with disabilities using
government funded services. Both the Complaint Resolution and Referral Service
and the National Disability Abuse and Neglect Hotline use the following freecall
numbers. Phone: 1800 880 052 TTY: 1800 301 130
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KPI 7.1 The service provider encourages the raising of complaints by service recipients regarding any areas of dissatisfaction with the service provider and the service
Does the service encourage the Complaints and disputes policy and procedures ◗ clear documented policy on complaints and disputes covering raising, examining and resolving the issue
raising of complaints by service and this policy is available to and understood by service recipients
recipients regarding any areas of ◗ observations/documentation on range of mechanisms for raising complaints
Proactive strategies for promoting the complaints
dissatisfaction with the agency ◗ examples of complaints policy and procedures (including external/independent options) being promoted
procedures to consumers and encouraging its use
or their services? in newsletters, via posters and pamphlets etc
◗ curricula for consumer induction / orientation includes information about the complaints policy and procedures
◗ staff can provide examples of independent advocacy services or advocates assisting consumer to raise a
complaint
◗ information accessible to consumers about external/independent complaint resolution services
(including in induction program, simple forms)
◗ management can describe how they ensure that the complaint raising procedure is suitable for the
Consumer perceptions diverse needs of service recipients (eg women of NESB)
◗ consumer feedback about whether they feel encouraged and supported to raise complaints about areas
of dissatisfaction
KPI 7.2 Service recipients have no fear of retribution in raising complaints
Can service recipients raise Management and staff commitment to ◗ service documentation on complaints procedures highlights the positives of getting feedback on areas for
complaints without fear of constructive complaints handling improvement
retribution? ◗ management and staff can describe the steps it takes to ensure complaints and disputes are handled in a
manner the respects service recipients‘ privacy and confidentiality and ensures that there is no negative
effect on service recipients for raising a complaint
Consumer perceptions ◗ details of complaints raised by service recipients that have subsequently been exited from the service
◗ consumer feedback about whether they feel confident to raise complaints and how they have been
treated when they have raised a complaint.
KPI 7.3 The service provider facilitates the resolution of complaints or disputes by service recipients regarding the service provider and the service
Does the service facilitate the Complaints resolution procedure ◗ records of complaints raised which include details of actions undertaken to mediate or resolve the
resolution of complaints or complaint and the outcome of the complaint
disputes? ◗ service delivery plan records details of appropriate corrective, remedial or preventive action following any
complaint
◗ records of cooperation (such as assistance with investigations, provision of policy and procedures, access
to premises) with the independent Complaint Resolution Services and implementation of its
recommendations
Proactive strategies for promoting consumer ◗ records of the participation of independent advocacy services or advocates in the resolution of a complaint
involvement in the resolution of complaints
Consumer perceptions ◗ consumer feedback about their satisfaction with the resolution of complaints or disputes that have been raised
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SECTION 10
Evidence guidelines
Standard 8: Service management

Each service provider adopts quality management systems and practices that
optimise outcomes for service recipients
Effective and efficient service management is essential for optimising outcomes for
consumers. These outcomes may include job placements, job durability and
satisfaction, support satisfaction, skill and career development, wage rates and
integration in the workforce and community.
A management system simply refers to all the things a service does to establish the
outcomes it wants to achieve and the policies and procedures it uses to ensure these
outcomes are attained. However, the type and complexity of the management systems
used by services are expected to vary greatly, depending on the size of the
organisation and the type of work undertaken. Clearly, a small rural service is not
expected to have the same management system as a large multi-site service. In addition,
where a service is part of a larger organisation, it will need to consider what management
systems are needed at the local level and how these link to management systems across
the organisation as a whole. In all cases, what is important is that each service has a
management system that best enables it to optimise outcomes for consumers.
Key signposts for a quality management system are:

◗ a clear organisational structure and corporate governance arrangements that
promote consumer confidence in the probity and accountability for the
management of the service;
◗ processes for setting and working towards business priorities and consumer
outcomes (eg corporate or business planning processes);
◗ continuous improvement (processes for identifying service strengths and
weaknesses and working towards service improvements); and
◗ documented policies and procedures relevant to the Disability Services Standards.
It is also important to note that Procedure 18 requires services to support the quality
assurance process by:
◗ providing a certification body with copies of all policies and procedures relevant
to the Disability Services Standards, before on-site audits. To assist with this
process, many services have collated their policies and procedures into a Quality
Manual; and
◗ undertaking an internal audit, at least annually, against the Disability Services
Standards. This process ensures that when certification bodies undertake a
certification or surveillance audit, the service has a record of work they have
undertaken to address potential areas of non-compliance and to ensure ongoing
compliance with the Standards. A FaCS Continuous Improvement Handbook has
been distributed to all disability employment services to provide further information
on continuous improvement tools and strategies you may wish to consider (including
a format for an internal audit). This is also available on the Department’s website
(www.facs.gov.au/qa).
It is expected that over time auditors will place more and more emphasis on the
commitment and success of continuous improvement processes within the service - in
other words, not just what the service does to ensure compliance with the Standards,
but how they will continue to achieve better outcomes for consumers.
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KPI 8.1 The service provider has management systems in place that facilitate quality management practices and continuous improvement.
Does the service facilitate quality Corporate governance arrangements that promote ◗ minutes of meetings of the Board of Directors
management practices and consumer confidence in the probity and ◗ article in newsletter about Board members and meetings
continuous improvement? accountability of the management of the service ◗ consumer representation on Board
◗ Board membership known to consumers
◗ minutes of corporate planning meetings
◗ a vision/mission statement
Business/corporate planning (processes for setting ◗ current Business Plan that includes strategies and targets for achieving consumer outcomes
and working towards business priorities and ◗ report of annual internal audit against the Standards/KPIs
consumer outcomes) ◗ minutes of consumer consultations
Annual internal audit process ◗ management can describe the continuous improvement process used by the service (eg meetings,
consumer consultation)
Continuous improvement (planning processes for ◗ minutes of consumer consultations
identifying service strengths and weaknesses and ◗ mechanisms for encouraging and receiving consumer feedback
working towards service improvements) ◗ current internal audit report includes continuous improvement priorities and strategies
◗ Quality Manual addressing each of the 12 Standards
◗ policies and procedures are regularly updated - records of reviews and updates are available
Current policies and procedures relevant to all ◗ current version of key documents are readily identifiable and accessible during audit, including
Disability Services Standards evidence validating case based funding assessments of disability-related support requirements
Appropriate document control (DPI/DMI)
◗ records of who holds copies of key documents
Monitoring and reporting of consumer outcomes ◗ database with records of outcomes for all consumers
◗ Annual Report includes information about service performance
Monitoring and reporting of consumer perceptions of ◗ consumer satisfaction survey which covers relevant elements of the Disability Services Standards
the quality of services ◗ minutes of consumer consultations
Written policies and procedures relating to ◗ documented policy and procedures for dealing with staff and other peoples complaints and disputes
complaints by staff or others about the service
Risk management ◗ documented risk management plans
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SECTION 10
Standard 9: Employment conditions

Each person with a disability enjoys working conditions comparable to those of the
general workforce
The intention of the Standard is to pay “real wages for real work”.
All employment services should be identifying award-based or equivalent wage
work opportunities for people with disabilities as part of their service practice.
Employment services, that are also employers, should identify award-based or
equivalent wages as operational costs like any other business.
For workers who are unable to work at full productive capacity due to their
disability, there is a range of tools to assess pro-rata wages. While the
Supported Wages System (SWS) is the accepted mechanism to assess pro-rata
wages for people in open employment, identifying a fair and transparent
mechanism for pro-rata wages in supported employment is not as
straightforward. Audit teams that are reviewing this standard for supported
employment services should refer to:
A Guide to Good Practice Wage Determination, which provides relevant criteria.
FaCS will make this guide available to certification bodies.
While the use of a particular pro-rata assessment tool is not prescribed,
management must be able to demonstrate the assessment of pro-rata wages
meets the following conditions:
◗ the assessment is made in full consultation with the individual or, where
the individual elects, in full consultation with a person nominated by the
individual;
◗ individuals or their nominees must be provided with a document that sets
out the outcome of the assessment, and the basis on which it is made;
and
◗ individuals must be given the opportunity to have their assessment
reviewed at least annually.
The service must also ensure that when people with a disability are placed in
employment their conditions of employment are consistent with general
workplace norms. These workplace norms include providing:
◗ safe and comfortable working environment;
◗ security of tenure in line with industry standard;
◗ a workplace free from harassment and discrimination; and
◗ ongoing performance feedback and appraisal.
Extract page
Evidence guidelines
Standard 9: Policy and program context for Self Employment

KPI 9.1 and self-employment
Some disability employment services support individuals in self-employment.
Under KPI 9.1, when people with a disability are employed, their wages must be
paid in accordance with “a relevant award, order or industrial agreement consistent
with legislation”. On this basis, self-employment does not meet the requirements
of KPI 9.1 as self employed people are not paid under an award system. .
Employment services should not be disguising an employee/employer relationship
as self-employment to avoid paying award wages.
Self-employment is an acceptable employment choice and outcome for people with
disabilities. However KPI 9.1 for Standard 9 does not strictly apply to self-
employment. To satisfy Standard 9 in these cases, the service must still make sure
that the overall intent of Standard 9 is met. Individuals that are self-employed
should enjoy working conditions comparable to those in the general community for
a comparable business or trade. Similar conditions can include hours of work or
cash income. Self-employment should be for a minimum of eight hours per week.
Services must provide appropriate support to individuals so that they have informed
choice about these types of employment options, including information on real
commercial risk, viability, and the ongoing consequences of their employment
choices.
Definition of self-employment
For the purposes of disability employment assistance, a person is self-employed if
they are “undertaking work, other than under a contract of employment, with the
primary aim of deriving a regular income”.
To be classified as self-employed for social security purposes, people would be
working either as sole traders or partners. The term ‘carrying on a business’ is
critical to the definition of self-employment for both social security and tax
purposes. A self-employed person who operates a business is carrying on a trade,
occupation or profession as an on-going concern. It is important to distinguish self-
employment from a hobby. The main purpose of the work must be to derive a
regular and real income.
Determining self-employment needs to be a flexible process, based on a balance of
factors. These factors include:
◗ Existence of a current business plan

Is there a current business plan that identifies key items such as business
objectives, business strategies, cash flow projections and target markets for
products or services?
◗ Existence of a contract
This may be for services (to produce a result) or contract of service or
employment (for labour) and its terms.
◗ Control or supervisory activity
Who controls what is to be done, how, when and where it is to be done and what
resources are used?
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SECTION 10
Evidence guidelines
◗ Remuneration
Is the person paid as an employee?
Are invoices presented?
What are the arrangements for taxation, superannuation and worker’s
compensation?
Who bears the risk/responsibility of profit or loss?
◗ Hours of work and leave
Does the person have much leeway in the hours they work or the leave they take?
◗ Provision of equipment or capital items
Who provides equipment and materials? Who owns the business premises?
◗ Goodwill or a saleable asset
Is goodwill or a saleable asset generated?
◗ Representative or individual
Is the person seen (by the public) to be representatives of the company or
individuals?
The Australian Taxation Office has produced a guide1 to determine whether an
individual is an employee or an individual contractor (someone who is self
employed). The ATO publication ‘How do I tell whether I am in business?’ is also
helpful.
1
This guide is available at www.ato.gov.au/content.asp?doc=/content/businesses/4540.htm
Extract page
KPI 9.1 The service provider ensures that people with a disability, placed in open or supported employment, receive wages according to the relevant award, order or
industrial agreement (if any) (consistent with legislation). A wage must not have been reduced, or be reduced, because award exemptions or incapacity to pay or similar
reasons and, if a person is unable to work at full productive capacity due to a disability, the service provider is to ensure that a pro-rata wage based on an award, order or
industrial agreement is paid. This pro-rata wage must be determined through a transparent assessment tool or process, such as the Supported Wage System (SWS), or
tools that comply with the criteria referred to in the Guide for Good Practice Wage Determination including: compliance with relevant legislation; validity; reliability;
wage outcome; and practical application of the tool
Does the service pay fair wages? Relevant award, order or industrial ◗ copies of relevant award, order or industrial agreement
agreement for each consumer ◗ pay slips/case file include details of relevant award, order or industrial agreement
Assessment tool or process for determining ◗ documented assessment tool or process for determining pro-rata wages
◗ where a consumer is receiving a pro-rata wage, case file includes details of assessment tool
pro-rata wages (where relevant)
used, outcome of the assessment and reasons for the assessment
◗ where a consumer is receiving a pro-rata wage, case file includes details of how the individual
Consumer involvement in pro-rata wages
was consulted about the assessment, whether they were asked if they wanted to nominate an
assessment
advocate and sign-off on the outcome
Review of pro-rata wages assessment (at ◗ case file includes details of reviews of the wage assessment (success of strategies to improve
least annually) prospects of progression to full award wage; new agreements; negotiated agreements)
Consumer perceptions ◗ consumer feedback on the adequacy of opportunity for involvement in the assessment and
review of pro-rata wages
KPI 9.2 The service provider ensures that, when people with a disability are placed in employment, their conditions of employment are consistent with
general workplace norms and relevant Australian Government and State legislation.
Does the service ensure Working conditions ◗ management/staff due diligence checks
working conditions that are ◗ observations of working conditions during certification assessment
comparable to those of the ◗ consumer feedback on the working conditions
general workforce?
KPI 9.3 The service provider ensures that, when people with a disability are placed and supported in employment, they, and if appropriate their
guardians and advocates, are informed of how wages and conditions are determined and the consequences of this.
Are consumers appropriately Procedure for informing consumers about ◗ documented procedure
informed about their wages and wages and conditions ◗ case files include copies of information provided to consumers about wages and conditions
conditions? Consumer perceptions ◗ consumer feedback about the adequacy of information provided
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SECTION 10
Evidence guidelines
Standard 10: Service recipient training and support

The employment opportunities of each person with a disability are optimised by
effective and relevant training and support
This Standard has links to Standard 2 and 6. Standard 2 focuses on each

consumer receiving employment support based on their personal goals in an
individualised and least restrictive way. Standard 6 looks in part at developing
key competencies and skills (eg confidence building) that can work towards
achieving those personal goals. This Standard has a direct focus on the specific
employment training and support needs and competencies that are required to
achieve their employment goals.
The models used to provide training and support can vary, depending upon
individual need and the type of employment support (open or supported). Some
services operate on the “train and place” model, others on the “place and
train” model. The focus of this Standard is not on the type of model used, but
more on the outcome and relevance of the training and support for consumers.
An important aspect when assessing this Standard is to ensure that the type of
training and support provided is directly relevant to employment outcomes, as
required under the service’s contractual obligations with FaCS. While services
are in the best position to judge what constitutes the most appropriate training
activities for an individual consumer, services must be able to demonstrate the
link between the training provided and the intended employment outcome. Day
activity or training programs focused on recreation or independent living would
not be considered to comply with the Standard, where consumers are receiving
a service funded under Australian Government employment programs.
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KPI 10.1 The service provider provides or facilitates access to relevant training and support programs that are consistent with the employment goals
and opportunities of each service recipient
Do consumers get the training Training and support policies and ◗ documented policy on access to and provision of training and support
and support they need to procedures ◗ examples of publicly available information which contains statements about the service’s
facilitate the achievement of commitment to facilitating access to relevant training and support
their employment goals and Tools / procedures for identifying training ◗ job/skills competency assessment toolkit
take maximum advantage of and support needs ◗ individual employment plans contain training and support strategies
employment opportunities?
Individual employment plans ◗ records of changes to employment plans after reviews (discussions of relevance of training
and support programs/activities; possible alternatives; agreements reached)
Training and support programs / activities ◗ records of consumer participation in training activities or support services received (either
provided directly or through referral)
◗ staff can describe how training and support activities are tailored to the achievement of
Employment outcomes
employment outcomes
◗ records of employment outcomes include details about the contribution of training provided
to the achievement of the outcome
◗ evaluations of training/support program performance in improving employment outcomes
◗ consumer feedback about their satisfaction with the level of choice they have about training
Consumer perceptions and support opportunities
◗ consumer feedback on the quantity, quality and relevance of the training and support provided
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SECTION 10
Evidence guidelines
Standard 11: Staff recruitment, employment and training

Each person employed to deliver services to a person with a disability has relevant
skills and competencies
Individual professional development, training and organisational learning are

critical to the safety and well-being of consumers. Much of the research in this
area suggests that untrained workers should be considered an unacceptable
management practice due to the high vulnerability of consumers in disability
services.
In order to provide effective support, staff require skills in areas such as
communication, respect and dignity, confidentiality, effective supports,
appropriate conduct, positive attitudes, behavioural support and responding to
individual need. There would be also a range of specialist knowledge and skills
required for specific positions.
The service management will need to clearly identify the skills and
competencies required for achieving service outcomes, methods for assessing
these skills and competencies, and addressing any gaps through staff training
and recruitment. These processes and practices should be consistent with
expected industry norms.
The service management should also have strategies to support organisation-
wide learning that acknowledges the changing needs of the organisation and
its staff and continues to develop responses to new challenges.
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KPI 11.1 The service provider identifies the skills and competencies of each staff member
Does the service identify the Job descriptions for each position/staff member ◗ documented job descriptions which include clear statements of the skills and
skills and competencies competencies required for the position
required for each position / Periodic reviews of the relevance and ◗ records of reviews and updates of job descriptions
staff member? comprehensiveness of job descriptions
Staff understanding of skill/competency ◗ staff can accurately describe, in their own terms, the skill/competency requirements of their job
requirements contained in their job description
Staff perceptions of the appropriateness of skill/ ◗ staff feedback on the relevance and comprehensiveness of their job description
competency requirements ◗ staff can describe how they are involved in reviewing skill/competency requirements
KPI 11.2 The service provider ensures that its staff have relevant skills and competencies
Does the service ensure its Merit-based recruitment and selection policies ◗ documented recruitment and selection policies
staff has the relevant skills ◗ referee checks
and competencies? ◗ police checks if required
◗ copies of staff qualifications (eg TAFE certificate) held on file
◗ clear policies on how to include service recipients in the recruitment of support staff
Staff appraisal procedures
◗ staff files indicate performance appraisals are conducted regularly
◗ staff can describe how they are involved in performance appraisals
◗ performance appraisal reports show that corrective action is taken if skill/competencies
Consumer perceptions of staff skills and deficiencies or staff under-performance are identified
competencies ◗ consumer feedback on staff
KPI 11.3 The service provider ensures the provision of appropriate and relevant training and skills development for each staff member
Does the service provide Processes for identifying staff training needs ◗ training need assessment tool
appropriate training and ◗ performance appraisal reports describe training needs/opportunities
skills development for staff? ◗ results of staff appraisals taken into account when assessing training needs
Staff training/skill development plans which ◗ documented individual/group training plans that cover all staff
are reviewed at least annually ◗ observation that plans have been reviewed (at least annually)
◗ staff describe how they are involved in developing and reviewing training plans
Staff satisfaction with training/skills ◗ staff feedback on the appropriateness of available training opportunities
development opportunities ◗ staff feedback on the quantity and quality of training
◗ training budget
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SECTION 10
Evidence guidelines
Standard 12: Protection of human rights and freedom from abuse

The service provider acts to prevent abuse and neglect and to uphold the legal and
human rights of service recipients
Firstly, this Standard requires service providers to uphold the legal and human
rights of service recipients.
Australia is party to a number of international agreements and conventions that
require the upholding of basic legal and human rights of all Australians,
including people with disabilities. These sentiments are also embodied in the
Principles and Objectives of the Disability Services Act 1986.
The basic legal and human rights to be upheld include:

◗ respect for human dignity and freedom;
◗ equality before the law;
◗ privacy;
◗ protection against discrimination; and
◗ equal opportunity in employment.
Secondly, this Standard requires service providers to be proactive in preventing

abuse of its service recipients.
In comparison to the general population, people with a disability are more likely
to experience abuse and neglect. There are many forms of abuse, including
physical, sexual, psychological, or emotional abuse; constraint and restrictive
practices; neglect and deprivation. Some forms of abuse may be intentional while
others are more likely to result from system failures or poor practice.
Services have a responsibility to have in place prevention strategies. Some

considerations include:
◗ the workplace culture within the service supporting valued attitudes;
◗ staff having basic competencies in abuse prevention;
◗ human resource planning including monitoring indicators and risks
related to abuse; and
◗ policy guidelines related to abuse prevention being developed based on
good practice and are evaluated.
During the certification process, if the certification body identifies evidence or

allegations of an abuse risk, JAS-ANZ Procedure 18 requires them to record the
details of the disclosure, allegation or witnessed event, and to immediately
notify the services manager and the Department. Certification cannot proceed
until FaCS advises the certification body that the notifiable issue is resolved.
The National Disability Service Abuse and Neglect Hotline was established on
29 October 2001, for people with disabilities using Government funded
services. Services are expected to actively promote the existence of Hotline to
service recipients. The hotline free call numbers are
1800 880 052 and TTY 1800 301 130.
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KPI 12.1 The service provider takes all practical and appropriate steps to prevent abuse and neglect of its service recipients
What preventative action does Human rights policy ◗ documented policy on the protection of human rights and freedom from abuse which is
the service take to minimise consistent with the Principles and Objectives of the Disability Services Act
the risk of abuse and neglect Proactive strategies to minimise the risk of ◗ police/ referee checks before staff are employed
of its consumers? abuse and neglect ◗ service report of an occupational health and safety risk assessment
◗ content for staff induction/orientation covers the three areas of abuse recognition, reporting
and assisting people who have been abused
◗ staff can describe practical strategies they use to reduce the risk of abuse and neglect
◗ Business Plan contains prevention strategies to minimise abuse/neglect risks
◗ minutes of planning meetings show that prevention strategies are regularly reviewed
◗ information available eg brochures on National Disability Services Abuse and Neglect Hotline
KPI 12.2 The service provider upholds the legal and human rights of its service recipients
Does the service uphold the Management and staff commitment to ◗ examples of publicly available information about the service which contains statements
legal and human rights of uphold legal and human rights about the service’s commitment to uphold legal and human rights
service recipients? Proactive strategies for promoting ◗ charter of consumer rights and responsibilities
information about legal and human rights to ◗ records of consumer attendance at information sessions on legal/human rights
consumers ◗ examples of information about legal/human rights in newsletter
◗ staff can accurately describe consumer rights when presented with scenarios
Staff understanding of consumer’s legal and ◗ records of staff attendance at information sessions on legal/human rights
human rights ◗ records of cases of alleged/suspected/actual abuse include details of the service response,
Service responsiveness to alleged, suspected changes to service management and delivery, and follow-up checks to ensure compliance
or actual abuse or neglect ◗ consumer feedback on the responsiveness of the service to allegations or concerns about
Consumer perceptions abuse or neglect
◗ consumer feedback on the success of the service in preventing abuse or neglect
◗ service has a copy of Disability Discrimination Act
Appropriate physical access ◗ building/facilities are accessible for consumers
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CONTENTS
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Joint Accreditation System of

Australia and New Zealand
General requirements for bodies operating assessment and certification of disability employment services

PROCEDURE NUMBER 18
ISSUE NUMBER 1
General requirements for bodies operating assessment and

certification of disability employment services
This document includes clauses taken from AS 3842:1998, the Australian Standard
which is identical with, and has been reproduced from, ISO/IEC Guide 62. JAS-ANZ
acknowledges the consent of the copyright owner, Standards Australia, to
incorporate this material within this document. Full copies of the Standard may be
obtained from Standards Australia.
Authority To Issue
Tony Craven
Chief Executive
With Authority of the Governing Board
© Commonwealth Department of Family and Community Services, 2003 Quality Assurance Handbook Issue 2, May 2003 1
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Attachment A
Contents
Section 0: Introduction 4
0.1 Object and field of application 4
0.2 Background 4
Section 1: General 6
1.1 Scope 6
1.2 References6
1.3 Definitions 6
Section 2: Requirements for certification bodies 10
2.1 Certification body 10
2.1.1 General provisions 10
2.1.2 Organisation 11
2.1.3 Subcontracting 16
2.1.4 Quality System 17
2.1.5 Conditions for granting, maintaining, extending,
reducing, suspending, and withdrawing certification 19
2.1.6 Internal audits and management reviews 20
2.1.7 Documentation 20
2.1.8 Records 21
2.1.9 Confidentiality 21
2.2 Certification body personnel 22
2.2.1 General 22
2.2.2 Qualification criteria for auditors and technical experts 23
2.2.3 Selection procedure 23
2.2.4 Contracting of assessment personnel 26
2.2.5 Assessment personnel records 26
2.2.6 Procedures for audit teams 26
2.3 Changes in the certification requirements 26
2.4 Appeals, complaints and disputes 27
Section 3: Requirements for certification 28
3.1 Application for certification 28
3.1.1 Information on the procedure 28
3.1.2 The application 29
3.2 Preparation for assessment 29
3.3 Assessment 30
3.4 Assessment report 31
3.5 Decision on certification 33
3.6 Surveillance and reassessment procedures 35
3.7 Use of certificates and logos 36
3.8 Access to records of communications with external interested parties 37
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ANNEX 1Audit Duration 39
ANNEX 2 Multi-site Certification 40

1 Introduction 40
2 Definitions 40
3 Eligibility criteria for the disability employment service 40
4 Eligibility criteria for the certification body 41
5 Assessment 41
6 Dealing with non-conformities 42
7 Certification 42
8 Sampling methodology 43
9 Size of sample 43
10 Audit duration 44
11 Additional sites 44
ANNEX 3audit planning and consumer sampling 45

1 Sampling principles 45
2 Collecting data for the sample of consumers 46
3 Consumer sample size 46
4 Consumer file sampling 47
5 Traceability of audit planning and consumer sampling processes 47
6 Audit planning time 48
7 Planning for audit reporting 48
ANNEX 4 Code Of Ethics 49
ANNEX 5 Transfer Of Accredited Certification 50

1 Introduction 50
2 Pre-transfer review 50
3 Certification 51
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Attachment A
Section 0: Introduction
0.1 Object and field of application
0.1.1 This document, including the attached Annexes, sets down the
requirements (accreditation criteria) for bodies seeking accreditation by the Board
of the Joint Accreditation System of Australia and New Zealand (JAS-ANZ), to assess
disability employment services and certify that they meet the Disability Services
Standards set down by the Commonwealth Department of Family and Community
Services. The disability employment services to which this procedure applies are
those that receive funding under the Commonwealth Disability Services Act 1986.
0.1.2 Accreditation in compliance with these general requirements
acknowledges that certification bodies possess the necessary competence and
reliability to operate such conformity assessment systems.
0.2 Background
0.2.1 ISO/IEC Guide 62:1996 is an International Standard which sets out criteria
for bodies operating assessment and certification of quality systems. It provides a
good benchmark for bodies that assess and certify disability employment services
as it addresses their competence and impartiality and has been tested
internationally as being appropriate and sufficient to ensure the credibility and
reliability of certificates issued by such bodies. Where necessary, the text of this
standard has been modified to relate to disability employment services by the JAS-
ANZ Disability Employment Services Technical Committee.
0.2.2 To facilitate the uniform interpretation and application of ISO/IEC Guide 62,
the International Accreditation Forum (IAF) has produced guidance notes, which are
included in this document as modified by the Committee. Also included are
additional guidance notes that have been endorsed by the Committee. These are
included as “JAS-ANZ Guidance”.
0.2.3 For convenience, the modified text of ISO/IEC Guide 62 is first printed in
bold; followed by modified IAF Guidance identified with the letter “G”, and JAS-ANZ
bold
Guidance identified with the letter “J”.
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0.2.4 The term “shall” is used throughout this document to indicate those
provisions which, reflecting the requirements of ISO/IEC Guide 62 and the
deliberations of the JAS-ANZ Disability Employment Services Technical Committee,
are mandatory. The term “should” is used to indicate those provisions which,
although they constitute guidance for the application of the requirements, are
expected to be adopted by a certification body. Any variation from the guidance by a
certification body shall be an exception. Such variations will only be permitted on a
case by case basis after the certification body has demonstrated to JAS-ANZ that the
exception meets the requirements and intent of the relevant Clause of this
document in an equivalent way.
0.2.5 The Commonwealth Department of Family and Community Services may
review criteria or set additional criteria, in consultation with all stakeholders. In any
case, these criteria will be reviewed within two years after implementation; or as the
need arises. Revised or additional criteria will be the subject of an agreement
between JAS-ANZ and the Department and will be regarded as part of these
accreditation criteria. Where there is inconsistency between the revised or
additional criteria and this document, the requirements of the revised or additional
criteria will prevail.
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Attachment A
Section 1: General
1.1 Scope
This document specifies general requirements to be met by a third party body

operating certification of disability employment services, if it is to be recognised as
being competent and reliable.
1.2 References
1.2.1 ISO/IEC Guide 2:1996, General terms and their definitions concerning
standardisation and related activities.
1.2.2 ISO 9000:2000, Quality management systems — Concepts and vocabulary.
1.2.3 ISO 10011-1:1990, Guidelines for auditing quality systems — Part 1:
Auditing.
1.2.4 ISO 10011-2:1991, Guidelines for auditing quality systems — Part 2:
Qualification criteria for quality systems auditors.
JAS-ANZ Guidance
J.1.2.1 Disability Services Act 1986.
J.1.2.2 Principles and Objectives of the Disability Services Act 1986 – Gazetted in
Commonwealth of Australia Gazette No. S118, Tuesday 9 June, 1987.
1.3 Definitions
For the purposes of this document, the relevant definitions given in ISO/IEC
Guide 2, ISO 9000:2000 and the following definitions apply:
Certification body: a third party which assesses and certifies with respect to
the Disability Services Standards.
Certification document: document indicating that a disability employment
service conforms to specified Disability Services Standards.
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IAF Guidance (modified)
G.1.3.1 The following definitions also apply to this document:

Assessment: all activities related to the certification of an organisation to determine
whether the organisation meets all the requirements of the Disability Services
Standards necessary for granting certification, and whether they are effectively
implemented; including documentation review, audit, preparation and
consideration of the audit report and other relevant activities necessary to provide
sufficient information to allow a decision to be made as to whether certification
shall be granted.
Logo: a symbol used by a body as a form of identification, usually stylised. A logo
may also be a mark.
Mark: a legally registered trade mark or otherwise protected symbol which is
issued under the rules of an accreditation body or of a certification body
indicating that adequate confidence in the systems operated by a certification
body has been demonstrated or that services conform to the requirements of a
specified standard (such as the Disability Services Standards). The legal
registration shall provide sufficient protection to enable the certification body to
control the use of certificates and logos.
JAS-ANZ Guidance
J.1.3.1 The following definitions also apply to this document:
Accreditation: process by which an authoritative body (JAS-ANZ) gives formal
recognition that a certification body is competent to carry out specific tasks.
Auditor: a member of the assessment or audit team who meets the requirements of
ISO 10011-2, and who has the competencies specified at Clause J.2.2.2.
Certification: process by which a third party gives written assurance that a disability
employment service conforms to the requirements of the Disability Services
Standards.
Commendable: the disability employment service demonstrates a high level of
achievement, innovation, creativity and continuous improvement in meeting the
requirements of a key performance indicator associated with a Disability Services
Standard.
Conformity: the requirements of a key performance indicator associated with a
Disability Services Standard are met.
Consumer: primarily, a person with a disability who has applied for / is receiving /
has received a service from the disability employment service being assessed.
Consumer may also mean family member/s or an unpaid primary carer or advocate
of that person with a disability.
Disability Employment Service: an employment service receiving funding under the
Commonwealth Disability Services Act 1986. Note: wherever disability employment
service is mentioned in this document, it shall be read as also referring to CRS
Australia.
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Attachment A
Disability Services Standards: the proposed standards under Section 5A (b) and (c)
of the Disability Services Act 1986, plus the auditable key performance indicators,
as determined by the Minister.
Department: Commonwealth Department of Family and Community Services.
Internal audit (of a disability employment service): self-verification, in consultation
with consumers, to see whether disability employment service activities and related
results comply with planned arrangements, and determine compliance with the
Disability Services Standards.
Major nonconformity: the requirements of a key performance indicator associated
with a Disability Services Standard are not met, or the outcome is ineffective. A
number of related non-conformities may also constitute a major nonconformity. The
certification body’s procedures shall ensure that:
a) verification of effective corrective action shall require a follow-up visit by the

certification body before certification. If the service is already certified, evidence
of a corrective action plan shall be presented to the certification body within 5
working days, and verification of effective corrective action shall require a
follow-up visit by the certification body within three months;
b) failure to action the major nonconformity within three months, or take action
sufficient to downgrade the major nonconformity to a nonconformity, shall
result in automatic suspension of certification;
c) the certification body notifies the Department within 10 working days of raising
a major nonconformity.
The Department may subsequently issue such instructions as it sees fit to the
disability employment service to deal with the major nonconformity.
Nonconformity: the requirements of a key performance indicator associated with a
Disability Services Standard are not fully met, or the outcome is only partly effective.
The certification body’s procedures shall ensure that:
a) implemented corrective action is verified as effective before certification, or

within six months if the disability employment service is already certified;
b) failure to action a nonconformity within six months may lead to the
nonconformity being upgraded to a major nonconformity; and in addition, a
major nonconformity may be raised with the disability employment service’s
corrective action process.
Notifiable issue: evidence or allegations of a serious health, safety or abuse risk,

financial impropriety and/or professional misconduct. If such evidence is found or
specific allegations are made, the certification body’s procedures shall require it to
record the details of the disclosure, allegation or witnessed event, and also to
immediately notify the disability employment service’s manager (unless there is
justifiable reason for not doing so), and the Department. The certification body is
not responsible for resolving the issue. Certification cannot proceed until the
Department advises the certification body that the notifiable issue is resolved. If the
disability employment service is already certified, the certification body shall seek
advice from the Department.
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Observation: opportunity for improvement or positive feedback. Observations which

are opportunities for improvement do not prevent certification, but they should be
carefully considered by management and addressed wherever possible, to ensure
that conformity is not compromised in the future.
Person with a disability: person with a disability attributable to an intellectual,
psychiatric, sensory, physical or neurological impairment or acquired brain injury
(or some combination of these) which is likely to be permanent, who has experience
of being a consumer of a disability service.
Rating scale: the system used by the Department to rate conformity of a disability
employment service. Each key performance indicator associated with a Disability
Services Standard is to be rated according to the scale below. A Disability Services
Standard is to be rated the same as the lowest rating of any of its associated key
performance indicators:
a) major nonconformity is 0;
b) nonconformity is 1;
c) conformity is 2;
d) commendable is 3.
Technical expert: a member of the assessment or audit team engaged to

supplement the background knowledge of the team; eg. where there are critical
requirements and special procedures. A technical expert need not meet all the
requirements of ISO 10011-2, and in this case, he/she should always work under the
direct supervision of an auditor. All technical experts shall at least meet the
requirements of Clause 7 of ISO 10011-2.
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Attachment A
Section 2: Requirements for certification bodies
2.1 Certification body
2.1.1 General provisions

2.1.1.1 The policies and procedures under which the certification body operates
shall be non-discriminatory and they shall be administered in a non-discriminatory
manner. Procedures shall not be used to impede or inhibit access by applicants
other than as provided for in this document.
2.1.1.2 The certification body shall make its services accessible to all applicants.
There shall not be undue financial or other conditions. Access shall not be
conditional upon the size of the disability employment service or membership of
any association or group, nor shall certification be conditional upon the number of
disability employment services already certified.
2.1.1.3 The criteria against which the disability employment service of an
applicant is assessed shall be those outlined in the Disability Services Standards
or other normative documents relevant to the function performed. If an explanation
is required as to the application of these documents it shall be formulated by
relevant and impartial committees or persons possessing the necessary technical
competence, and published by the certification body.
2.1.1.4 The certification body shall confine its requirements, assessment and
decision on certification to those matters specifically related to the scope of the
certification being considered.

G.2.1.1 Certification of a disability employment service shall give adequate
confidence that the system meets the Disability Services Standards.
G.2.1.2 Certification bodies shall not practice any form of discrimination such as
hidden discrimination by speeding up or delaying applications.
G.2.1.3 Clause 2.1.1.2 requires certification bodies to make their services available
to all applicants. However, a certification body may, in so far as the law permits,
limit its service to applicants operating in a defined geographic region.
JAS-ANZ Guidance
J.2.1.1 Clause 2.1.1.3 refers to other normative documents (ie. other than the
Disability Services Standards) and to committees and persons responsible for
formulating explanations as to the application of those documents. Any such
normative documents, committees or persons shall be authorised by the
Department, and be developed in consultation with all stakeholders.
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2.1.2 Organisation
The structure of the certification body shall be such as to give confidence in its
certifications. In particular, the certification body shall:
a) be impartial;
b) be responsible for its decisions relating to the granting, maintaining,
extending, reducing, suspending and withdrawing of certification;
c) identify the management (committee, group or person) which shall have overall
responsibility for all of the following:
1) performance of assessment and certification as defined in these requirements;
2) the formulation of policy matters relating to the operation of the certification
body;
3) decisions on certification;
4) supervision of the implementation of its policies;
5) supervision of the finances of the certification body;
6) the delegation of authority to committees or individuals, as required, to
undertake defined activities on its behalf;
d) have documents which demonstrate that it is a legal entity;
e) have a documented structure which safeguards impartiality, including
provisions to assure the impartiality of the operations of the certification body.
This structure shall enable the participation of all parties significantly
concerned in the development of policies and principles regarding the content
and functioning of the certification system;
f) ensure that each decision on certification is taken by a person or persons
different from those who carried out the assessment;
g) have rights and responsibilities relevant to its certification activities;
h) have adequate arrangements to cover liabilities arising from its operations
and/or activities;
i) have the financial stability and resources required for the operation of a
certification system;
j) employ a sufficient number of personnel having the necessary education,
training, technical knowledge and experience for performing certification
functions relating to the type, range and volume of work performed, under a
responsible senior executive;
k) have a quality system, as outlined in Clause 2.1.4, giving confidence in its
ability to operate a certification system for disability employment services;
l) have policies and procedures that distinguish between disability employment
services certification and any other activities in which the certification body is
engaged;
m) together with its senior executive, and staff, be free from any commercial,
financial and other pressures which might influence the results of the
certification process;
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Attachment A
n) have formal rules and structures for the appointment and operation of any
committees which are involved in the certification process; such committees
shall be free from any commercial, financial and other pressures that might
influence decisions (see Note 1);
o) ensure that activities of related bodies do not affect the confidentiality,
objectivity, or impartiality of its certifications and shall not offer or provide:
1) those services that it certifies others to perform;
2) consulting services to obtain or maintain certification;
3) services to design, implement or maintain management systems or
disability employment services (see Note 2);
p) have policies and procedures for the resolution of complaints, appeals and
disputes received from disability employment services, consumers or other
parties about the handling of certification or any other related matters.
NOTE 1. A structure where members are chosen to provide a balance of interests

where no single interest predominates will be deemed to satisfy this provision.
NOTE 2. Other products, processes or services may be offered, directly or indirectly,
provided they do not compromise confidentiality or the objectivity or impartiality of
its certification process and decisions.

G.2.1.4 Accreditation shall only be granted to a body which is a legal entity as
referenced in Clause 2.1.2 d) and may be confined to declared activities and
locations. If the certification activities are carried out by a legal entity which is part
of a larger organisation, the links with other parts of the larger organisation shall be
clearly defined and should demonstrate that no conflict of interest exists as defined
in Clauses G.2.1.17 and G.2.1.18. Relevant information on activities performed by the
other parts of the larger organisation shall be given by the certification body to JAS-ANZ.
G.2.1.5 Demonstration that a certification body is a legal entity, as required
under Clause 2.1.2 d), means that if an applicant certification body is part of a larger
legal entity, accreditation shall only be granted to the entire legal entity. In such a
situation, the structure of the entire legal entity may be subject to audit by the
accreditation body, but the part of the legal entity that forms the actual certification
body may trade under a distinctive name. For the purposes of Clause 2.1.2 d),
certification bodies which are part of government, or are government departments,
will be deemed to be legal entities on the basis of their governmental status. Such
bodies’ status and structure shall be formally documented and the body shall
comply with all the requirements of this document.
G.2.1.6 Impartiality and independence of the certification body should be
assured at three levels:
a) strategic and policy;

b) decisions on certification;
c) auditing.
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The guidance to Clause 2.1.2 is intended to provide for impartiality and

independence at all three levels.
G.2.1.7 Impartiality, as required by Clause 2.1.2 a) can only be safeguarded by
a structure, as required by Clause 2.1.2 e), that enables “the participation of all
parties significantly concerned in the development of policies and principles
regarding the content and functioning of the certification system”.
G.2.1.8 The structure required at Clause 2.1.2 e) to safeguard impartiality shall
be separate from the management established to meet the requirements of Clause
2.1.2 c), unless the entire management function is performed by a committee or
group that is constituted to enable participation of all parties as required in Clause
2.1.2 e).
G.2.1.9 Conformance with Clause 2.1.2 e) has the effect of counteracting any
tendency on the part of the owners of a certification body to allow commercial or
other considerations to prevent the consistent technically objective provision of its
service. This is particularly necessary when the finance to set up a certification body
has been provided by a particular interest which predominates in the shareholding
and/or the board of directors.
G.2.1.10 Clause 2.1.2 e) therefore requires that the documented structure of the
certification body has built into it provision for the participation of all the
significantly concerned parties. This should normally be through some kind of
committee. This structure shall be formally established by the highest level within
the organisation either in the documentation that establishes the certification
body’s legal status or by some other means that prevents it being changed in a
manner that compromises the safeguarding of impartiality. Any change in this
structure should take into account advice from the committee, or equivalent,
referred to in Clause 2.1.2 e).
G.2.1.11 It is always a question of judgement whether all parties significantly
concerned in the system are able to participate. What is essential is that all
identifiable major interests should be given the opportunity to participate, and that
a balance of interests, where no single interest predominates is achieved. The
certification body shall ensure that consumers are adequately represented. Where
one sector (eg. government, industry, etc.) provides more than one individual to
represent separate aspects of the sector’s interests, the fact that they come from
the one sector deems them to constitute a single interest.
G.2.1.12 The management responsible for the various functions described in
Clause 2.1.2 c) should provide all the necessary information, including the reasons
for all significant decisions and actions, and the selection of persons responsible for
particular activities, in respect of certification, to the committee or equivalent
referred to in Clause 2.1.2 e), to enable it to ensure proper and impartial
certification. If the advice of this committee or equivalent is not respected in any
matter by the management, the committee or equivalent shall take appropriate
measures, which may include informing JAS-ANZ.
G.2.1.13 If the certification body and an applicant or certified disability
employment service are both part of government, the two bodies should not directly
report to a person or group having operational responsibility for both. The
certification body shall, in view of the impartiality requirement, be able to
demonstrate how it deals with such a case.
Extract page
Attachment A
G.2.1.14 The requirement for financial stability referred to in Clause 2.1.2 i)

requires the certification body to demonstrate that it has a reasonable expectation
of being able to continue to provide the service in accordance with its contractual
obligations. Certification bodies are responsible for providing JAS-ANZ with
sufficient evidence to demonstrate viability; eg. management reports or minutes,
annual reports, financial audit reports, or financial plans. JAS-ANZ will not attempt
any direct audit of the financial accounts of certification bodies.
G.2.1.15 If the decision to issue or withdraw certification in accordance with
Clause 2.1.2 n) is taken by a committee comprising, among others, representatives
from one or more certified disability employment services, the operational
procedures of the certification body should ensure that these representatives do not
have a significant influence on decision making. This can be assured by, for
example, the distribution of voting rights or some other equivalent means.
G.2.1.16 Clause 2.1.2 o) addresses two separate requirements. First, the
certification body shall not under any circumstances provide the services identified
in sub-paragraphs 1), 2) and 3) of that Clause. Second, although there is no specific
restriction on the services or activities a related body may provide, these shall not
affect the confidentiality, objectivity or impartiality of the certification body.
G.2.1.17 Consultancy is considered to be participation in an active creative
manner in the development of the disability employment service or management
system to be assessed by, for example:
a) preparing or producing manuals, handbooks or procedures;

b) participating in the decision making process regarding disability employment
services or management system matters;
c) giving specific advice towards the development and implementation of disability
employment services or management systems for eventual certification.
Note: management systems as referred to in Clause G.2.1.17 include all aspects of

such systems, including financial.
G.2.1.18 Certification bodies can carry out the following duties without their
being considered as consultancy or necessarily creating a conflict of interest.
However, all potential conflicts should be dealt with in accordance with Clause
G.2.1.23:
a) certification including information meetings, planning meetings, examination of
documents, auditing and follow up of non-conformities;
b) arranging and participating as a lecturer in training courses, provided that
where these courses relate to disability employment services, quality
assurance, management systems or auditing they should confine themselves to
the provision of generic information and advice which is freely available in the
public domain; ie. they should not provide company-specific advice which
contravenes the requirements of Clause G.2.1.17 c);
c) making available or publishing on request information on the basis for the
certification body’s interpretation of the requirements of the assessment
standards;
Extract page

d) activities prior to audit aimed solely at determining readiness for assessment;

but such activities should not result in the provision of recommendations or
advice that would contravene the requirements of Clause G.2.1.17, and the
certification body should be able to confirm that such activities do not
contravene these requirements and that they are not used to justify a reduction
in the eventual assessment duration;
e) performing second and third party audits according to other standards or
regulations than those being part of the scope of accreditation;
f) adding value during assessments and surveillance visits, eg. by identifying
opportunities for improvement as they become evident during the audit, without
recommending specific solutions.
G.2.1.19 Activities under Clause 2.1.2 o) of a related body and certification

should never be marketed together and nothing should be stated in marketing
material or presentations, written or oral, to give the impression that the activities
are linked with certification. It is the duty of the certification body to ensure that
none of its clients are given the impression that the use of such activities and
certification would bring any business advantage to the client, so that the
certification remains, and is seen to remain, impartial.
G.2.1.20 Nothing should be said by a certification body that would suggest that
certification would be simpler, easier or less expensive if any specified consultancy
or training services were used.
G.2.1.21 A related body, as referred to in Clause 2.1.2 o) is one which is linked to
the certification body by common ownership or directors, contractual arrangement,
a common name, informal understanding or other means such that the related body
has a vested interest in the outcome of an assessment or has a potential ability to
influence the outcome of an assessment.
G.2.1.22 The certification body should analyse and document the relationship
with such related bodies to determine the possibilities for conflict of interest with
provision of certification and identify those bodies and activities that could, if not
subject to appropriate controls, affect confidentiality, objectivity or impartiality.
G.2.1.23 Certification bodies shall demonstrate how they manage their
certification business and any other activities so as to eliminate actual conflict of
interest and minimise any identified risk to impartiality. The demonstration shall
cover all potential sources of conflict of interest, whether they arise from within the
certification body or from the activities of related bodies. JAS-ANZ will expect
certification bodies to open up these processes for audit. This may include, to the
extent practicable and justified, pursuit of audit trails to review records of both the
certification body and its related body for the activity under consideration. In
considering the extent of such audit trails account should be taken of the
certification body’s history of impartial certification. If evidence of failure to
maintain impartiality is found there may be a need to extend the audit trail back into
the related bodies to provide assurance that control over potential conflicts of
interest has been re-established.
Extract page
Attachment A
G.2.1.24 The requirements of Clause 2.1 and Clause 2.2.3 mean that people who
have provided consultancy, including those acting in a managerial capacity, should
not be employed to conduct an audit or contribute to a certification decision as part
of the certification process if they have been involved in any consultancy activities
towards the disability employment service in question, (or any company related to
that disability employment service), or have been consumers of services provided
by that disability employment service, within the last two years. Situations such as
an employer’s involvement or previous involvement with the disability employment
service being assessed may present individuals involved in any part of the
certification process with a conflict of interest. The certification body has a
responsibility to identify and evaluate such situations and to assign responsibilities
and tasks so as to ensure that impartiality is not compromised.
G.2.1.25 The senior executive, staff and/or personnel mentioned in Clause 2.1.2
may not necessarily be full-time personnel, but their other employment shall not be
such as to compromise their impartiality.
G.2.1.26 The certification body should require all assessment sub-contractors or
external auditors to give undertakings regarding the marketing of any consultancy
services equivalent to those required by Clauses G.2.1.19 and G.2.1.20.
G.2.1.27 The certification body should be responsible for ensuring that neither
related bodies, nor sub-contractors, nor external auditors operate in breach of the
undertakings that they have given. It should also be responsible for implementing
appropriate corrective action if such a breach is identified.
G.2.1.28 The certification body should be independent from the body or bodies
(including any individuals) which provide any internal audit of the disability
employment service subject to certification.
G.2.1.29 An auditor shall explain the audit findings and/or clarify the
requirements of the assessment standard during the audit and/or at the closing
meeting but shall not give prescriptive advice or consultancy as part of an
assessment.
2.1.3 Subcontracting
When a certification body decides to subcontract work related to certification (eg.
audits) to an external body or person, a properly documented agreement covering
the arrangements, including confidentiality and conflict of interests, shall be drawn
up. The certification body shall:
a) take full responsibility for such subcontracted work and maintain its
responsibility for granting, maintaining, extending, reducing, suspending or
withdrawing certification;
b) ensure that the subcontracted body or person is competent and complies with
the applicable provisions of this document and is not involved, either directly or
through its employer with the design, implementation or maintenance of a
disability employment service in such a way that impartiality could be
compromised;
c) obtain the consent of the applicant or certified disability employment service.
Extract page

NOTE 3. Requirements a) and b) are also relevant, by extension, when a certification

body uses, for granting its own certification, work provided by another certification
body with which it has signed an agreement.

G.2.1.30 A certification body may issue certificates on the basis of an
assessment carried out by another body provided that the agreement with the
subcontracted body requires it to comply with all the relevant requirements of this
document and, in particular, the requirements of Clause 2.2. Assessments carried
out by subcontracted bodies shall give the same confidence as assessments carried
out by the certification body itself. Evaluation of the audit report and the decision on
certification shall be made only by the certification body itself, and not by any other
certification body. Where joint assessments are undertaken, each certification body
shall satisfy itself that the whole of the scope of the assessment has been
satisfactorily undertaken by competent auditors.
G.2.1.31 Where a certification body issues certificates in accordance with Clause
G.2.1.30 it shall have procedures that ensure conformity with all relevant
clauses of this document by subcontracted bodies.
G.2.1.32 The requirement at Clause 2.1.3 c) does not mean that the consent of
the disability employment service being assessed is required in case of
subcontracting of administrative activities such as typing.
2.1.4 Quality System

2.1.4.1 The management of the certification body with executive responsibility
for quality shall define and document its policy for quality, including objectives for
quality and its commitment to quality. The management shall ensure that this policy
is understood, implemented and maintained at all levels of the certification body.
2.1.4.2 The certification body shall operate a quality system in accordance with
the relevant elements of this document and appropriate to the type, range and
volume of work performed. This quality system shall be documented and the
documentation shall be available for use by the staff of the certification body. The
certification body shall ensure effective implementation of the documented quality
system procedures and instructions. The certification body shall designate a person
with direct access to its highest executive level who, irrespective of other
responsibilities, shall have defined authority to:
a) ensure that a quality system is established, implemented and maintained in

accordance with these requirements;
b) report on the performance of the quality system to the management of the
certification body for review and as a basis for improvement of the quality
system.
Extract page
Attachment A
2.1.4.3 The quality system shall be documented in a quality manual and

associated quality procedures, and the quality manual shall contain or refer to at
least the following:
a) a quality policy statement;

b) a brief description of the legal status of the certification body, including the
names of its owners, if applicable and, if different, the names of the persons
who control it;
c) the qualifications, experience and terms of reference of the senior executive
and other certification personnel, influencing the quality of the certification
function;
d) an organisation chart showing lines of authority, responsibility and allocation
of functions stemming from the senior executive. The relationship between
those responsible for assessments and those taking decisions regarding
certification shall be clear;
e) a description of the quality system of the certification body, including details of
the management (committee, group or person) identified in Clause 2.1.2 c), its
constitution, terms of reference and rules of procedure;
f) the policy and procedures for conducting management reviews;
g) administrative procedures including document control;
h) the operational and functional duties and services pertaining to quality, so that
the extent and limits of each person’s responsibility are known to all
concerned;
i) the policy and procedures for the recruitment and training of certification body
personnel (including auditors and consumer technical specialists) and
monitoring their performance;
j) a list of its subcontractors and details of the procedures for assessing,
recording and monitoring their competence;
k) its procedures for handling non-conformities and for assuring the effectiveness
of any corrective actions taken;
l) the policy and procedures for implementing the certification process, including:
1) the conditions for issue, retention, and withdrawal of certification
documents;
2) checks of the use and application of documents used in the certification of
disability employment services;
3) the procedures for assessing and certifying disability employment services;
4) the procedures for surveillance and reassessment of certified disability
employment services.
m) the policy and procedure for dealing with appeals, complaints and disputes;
n) the procedures for conducting internal audits based on the provisions of ISO
10011-1.
Extract page


G.2.1.33 The requirement at Clause 2.1.4.2 for a certification body to designate a
person with direct access to its highest executive level does not preclude the chief
executive from assuming this role and responsibilities at Clause 2.1.4.2 a) and b).
2.1.5 Conditions for granting, maintaining, extending, reducing,
suspending, and withdrawing certification
2.1.5.1 The certification body shall specify the conditions for granting,
maintaining, reducing and extending certification and the conditions under which
certification may be suspended or withdrawn, partially or in total for all or part of
the disability employment service’s certification. In particular, the certification
body shall require the disability employment service to notify it promptly of any
intended changes which may affect conformity.
2.1.5.2 The certification body shall require the disability employment service
to conform to the Disability Services Standards.
2.1.5.3 The certification body shall have procedures to:
a) grant, maintain, withdraw and, if applicable, suspend certification;

b) conduct reassessment if changes significantly affect the activity and operation
of the disability employment service (such as change of ownership or changes
in key personnel), or if analysis of a complaint or any other information
indicates that the certified disability employment service no longer complies
with the requirements of the certification body.
2.1.5.4 The certification body shall have documented procedures which shall
be made available on request for:
a) the initial assessment of a disability employment service, in accordance with

the provisions of ISO 10011-1 and other relevant documents;
b) surveillance and reassessment of disability employment services in
accordance with ISO 10011-1 on a periodic basis for continuing conformity with
the Disability Services Standards and for verifying and recording that a
disability employment service takes timely action to correct all non-
conformities;
c) identifying and recording non-conformities and the need for timely corrective
action by disability employment services for such items as incorrect references
to the certification or misleading use of certification information.

G.2.1.34 Clause 2.1.5 of this document does not mention a specific period in
which at least one complete internal audit and one management review of the
disability employment service shall take place. The certification body may specify a
period. Irrespective of whether the certification body has chosen to specify a
minimum frequency, measures shall be established by the certification body to
ensure the effectiveness of the disability employment service’s management review
and internal audit processes.
Extract page
Attachment A
G.2.1.35 Various references in this document make it a requirement to work in

accordance with ISO 10011. However, the term “should” in ISO 10011 shall be
interpreted as described in Clause 0.2.4.
G.2.1.36 The certification body should define the consequences of suspension
and withdrawal. Suspension of certification need not be published by a certification
body. However, withdrawal of certification shall result in, as a minimum, an
amendment to the directory referenced in Clause 2.1.7.1 g). But also note the
requirements in Clause 3.1.1.2 e).
2.1.6 Internal audits and management reviews

2.1.6.1 The certification body shall conduct periodic internal audits covering
all procedures in a planned and systematic manner, to verify that the quality
system is implemented and is effective. The certification body shall ensure that:
a) personnel responsible for the area audited are informed of the outcome of the
audit;
b) corrective action is taken in a timely and appropriate manner; and
c) the results of the audit are recorded.
2.1.6.2 The body’s management with executive responsibility shall review its
quality system at defined intervals sufficient to ensure its continuing suitability
and effectiveness in satisfying the requirements of this document and the stated
quality policy and objectives. Records of such reviews shall be maintained.
2.1.7 Documentation
2.1.7.1 The certification body shall document, update at regular intervals, and
make available (through publications, electronic media or other means) on request:
a) information about the authority under which the certification body operates;
b) a documented statement of its certification system including its rules and
procedures for granting, maintaining, extending, reducing, suspending and
withdrawing certification;
c) information about the assessment and certification process;
d) a description of the means by which the certification body obtains financial
support and general information on the fees charged to applicants and certified
disability employment services;
e) a description of the rights and duties of applicants and certified disability
employment services, including requirements, restrictions or limitations on the
use of the certification body’s logo and on the ways of referring to the
certification granted;
f) information on procedures for handling complaints, appeals and disputes;
g) a directory of certified disability employment services, including each of their
locations, describing the certification granted to each.
Extract page

2.1.7.2 The certification body shall establish and maintain procedures to

control all documents and data that relate to its certification functions. These
documents shall be reviewed and approved for adequacy by appropriately
authorised and competent personnel prior to issuing any documents following
initial development or any subsequent amendment or change being made. A list of
all appropriate documents with the respective issue and/or amendment status
identified shall be maintained. The distribution of all such documents shall be
controlled to ensure that the appropriate documentation is made available to
personnel of the certification body or disability employment service when required
to perform any function relating to the activities of an applicant or certified
disability employment service.
2.1.8 Records
2.1.8.1 The certification body shall maintain a record system to suit its
particular circumstances and to comply with existing regulations. The records shall
demonstrate that the certification procedures have been effectively fulfilled,
particularly with respect to application forms, assessment reports, and other
documents relating to granting, maintaining, extending, reducing, suspending or
withdrawing certification. The records shall be identified, managed and disposed
of in such a way as to ensure the integrity of the process and confidentiality of the
information. The records shall be kept for a period of time so that continued
confidence may be demonstrated for at least one full certification cycle, or as
required by law.
2.1.8.2 The certification body shall have a policy and procedures for retaining
records for a period consistent with its contractual, legal or other obligations. The
certification body shall have a policy and procedures concerning access to these
records consistent with Clause 2.1.9.
2.1.9 Confidentiality
2.1.9.1 The certification body shall have adequate arrangements, consistent
with applicable laws, to safeguard confidentiality of the information obtained in the
course of its certification activities at all levels of its quality system, including
committees and external bodies or individuals acting on its behalf.
2.1.9.2 Except as required in this document, information about a particular
disability employment service shall not be disclosed to a third party without the
written consent of the disability employment service. Where the law requires
information to be disclosed to a third party, the disability employment service shall
be informed of the information provided as permitted by the law.

G.2.1.37 The requirement as to confidentiality includes anyone who might gain
access to information which the certification body should keep confidential.
Subcontracted personnel shall be required to keep all such information
confidential, particularly from fellow employees and from their other employers.
G.2.1.38 The “written consent” mentioned in Clause 2.1.9.2 only applies to
confidential information.
Extract page
Attachment A
JAS-ANZ Guidance
J.2.1.2 Information about a consumer of a disability employment service that
is identifiable directly or indirectly to that consumer shall not be disclosed without
the written consent of that person, unless required by law. Where written consent is
not available or appropriate, the consumer shall be supported by a carer, family
member or advocate to make an informed decision about consent.
J.2.1.3 Information about a particular employment service may be disclosed to
the Department without the written consent of the disability employment service, in
accordance with the requirements of the disability employment service’s funding
agreement with the Department.
2.2 Certification body personnel
2.2.1 General
2.2.1.1 The personnel of the certification body involved in certification shall be
competent for the functions they perform.
2.2.1.2 Information on the relevant qualifications, training and experience of
each member of the personnel involved in the certification process, shall be
maintained by the certification body. Records of training and experience shall be
kept up-to-date.
2.2.1.3 Clearly documented instructions shall be available to the personnel
describing their duties and responsibilities. These instructions shall be maintained
up-to-date.

G.2.2.1 Clause 2.1.2 j) means that the certification body shall be able to
conduct assessments using resources under its own control which meet the
requirements of ISO 10011.
G.2.2.2 The term “resources under its own control” can include individual
auditors who work for the certification body on a contract basis, or other external
resources. The certification body shall be in a position to manage, control and be
responsible for the performance of all its resources and maintain comprehensive
records controlling the suitability of all the staff it uses in particular areas, whether
they are employees, employed on contract or provided by external bodies.
G.2.2.3 The management of the certification body shall have the resources to
enable it to determine whether or not, and procedures to ensure that, individual
auditors are competent for the tasks they are required to perform. The competence
of auditors may be established by verified background experience, specific training
or briefing. The certification body should be able to communicate effectively with all
those whose services it uses.
Extract page

G.2.2.4 Certification bodies shall have personnel competent to:

a) select and verify the competence of auditors;
b) brief auditors and arrange any necessary training;
c) decide on the granting, maintaining, withdrawing, suspending, extending, or
reducing of certifications;
d) set up and operate an appeals, complaints and disputes procedure.
JAS-ANZ Guidance
J.2.2.1 The certification body shall involve a person with a disability:

a) as a technical expert or auditor on all audit teams, as a minimum according to
the role defined at Clause J.2.2.5;
b) on committees to enable compliance with Clause 2.1.2 e) and related Clauses;
c) in the certification decision-making process referred to in Clause 3.5.1;
d) in appeals hearings.
2.2.2 Qualification criteria for auditors and technical experts

2.2.2.1 In order to ensure that assessments are carried out effectively and
uniformly, the minimum relevant criteria for competence shall be defined by the
certification body.
2.2.2.2 Auditors shall meet the requirements of the appropriate international
documentation. For the assessment of a disability employment service, the
relevant guidelines for auditing are those defined in ISO 10011-1, and the relevant
criteria for auditors are those defined in ISO 10011-2.
2.2.2.3 Technical experts are not required to comply with the requirements for
auditors covered in ISO 10011-2. Guidance on their personal attributes may be
obtained from ISO 10011-2:1991, Clause 7.
2.2.3 Selection procedure

2.2.3.1 Selection of auditors and technical experts, in general
The certification body shall have a procedure for:

a) selecting auditors and, if applicable, technical experts, on the basis of their
competence, training, qualifications and experience;
b) initially assessing the conduct of auditors and technical experts during
assessments and subsequently monitoring the performance of auditors and
technical experts.
Extract page
Attachment A

G.2.2.5 Clause 2.2.3.1 b) requires the certification body to assess and monitor
the conduct and performance of auditors and technical experts. Such assessment
and monitoring should include witnessing the activities of the auditors and
technical experts on-site.
JAS-ANZ Guidance
J.2.2.2 All team members shall also have the following competencies:
a) detailed understanding of the Disability Services Standards;
b) detailed understanding and knowledge of disability employment services’
management practices;
c) detailed understanding of the Department’s quality assurance system and
strategy for disability employment services.
J.2.2.3 The member of the audit team with a disability shall have at least the
following competencies, in addition to the competencies listed at Clause J.2.2.2:
a) general understanding of the Disability Services Act;
b) general understanding and knowledge of the disability service sector;
c) empathy with the life experience of people with disabilities;
d) ability to plan and facilitate the effective input of people with disabilities in an
audit process;
e) effective interpersonal and communication abilities;
f) ability to collect, examine and analyse evidence against the Disability Services
Standards.
J.2.2.4 It is desirable for the member of the audit team with a disability to also
have experience in disability service assessment or evaluation.
J.2.2.5 The member of the audit team with a disability shall be involved in the
following activities, and this involvement shall be traceable via reports or other
documents on the certification body’s files:
a) planning and preparing the methods of consumer participation in the audit;
b) engaging consumers during the audit to collect evidence with respect to the
Disability Services Standards;
c) reviewing consumer files or following-up on issues with consumers;
d) contributing to the review of all audit evidence prior to the presentation of the
audit findings to the client;
e) contributing to the written audit report before it is submitted to the client.
Extract page

2.2.3.2 Assignment for a specific assessment

When selecting the audit team to be appointed for a specific assessment the
certification body shall ensure that the skills brought to each assignment are
appropriate. The team shall:
a) be familiar with the applicable legal regulations, certification procedures and
certification requirements;
b) have a thorough knowledge of the relevant assessment method and
assessment documents;
c) have appropriate technical knowledge of the specific activities for which certification
is sought and, where relevant, with associated procedures and their potential
for failure (technical experts who are not auditors may fulfil this function);
d) have a degree of understanding sufficient to make a reliable assessment of the
competence of the disability employment service to provide products,
processes or services;
e) understand the geographic, religious or cultural context in which the disability
employment service operates;
f) be able to communicate effectively, in writing and orally in the required languages;
g) be free from any interest that might cause team members to act in other than
an impartial or non-discriminatory manner, for example:
1) audit team members or their organisation shall not have provided
consulting services to the applicant or certified disability employment
service which compromise the certification process and decision;
2) in accordance with the directives of the certification body, the audit team
members shall inform the certification body, prior to the assessment, about
any existing, former and envisaged link between themselves or their
disability employment services and the disability employment service to be
assessed.

G.2.2.6 It is a condition of accreditation that accredited certificates are not
issued until adequate resources can be deployed to conduct audits meeting the
requirements of this document. The certification body’s procedures shall ensure
that staff employed to assess disability employment services are competent in the
field in which they are operating. Staff responsible for managing audits shall be
identified and their qualifications documented.
G.2.2.7 In certain instances, particularly where there are critical requirements
and special procedures, the background knowledge of the audit team may be
supplemented by briefing, specific training or experts in attendance. The
certification body may attach technical experts to their assessment teams. If a
certification body does use experts, its management systems shall provide for it and
for keeping competence up to date. The documentation shall include details of how
experts are selected and how their competence and impartiality is assured. The
certification body may rely on outside help, for example, from disability
organisations or professional institutions.
Extract page
Attachment A
2.2.4 Contracting of assessment personnel

The certification body shall require the personnel involved in the assessment to
sign a contract or other document by which they commit themselves to comply
with the rules defined by the certification body, including those relating to
confidentiality and those relating to independence from commercial and other
interests, and any prior and/or present link with the disability employment
services to be assessed. The certification body shall ensure that, and document
how, any subcontracted assessment personnel satisfy all the requirements for
assessment personnel outlined in this document.
2.2.5 Assessment personnel records

2.2.5.1 The certification body shall possess and maintain up-to-date records on
assessment personnel consisting of:
a) name and address;
b) affiliation and position held in the organisation;
c) educational qualification and professional status;
d) experience and training in each field of competence of the certification body;
e) date of most recent updating of record;
f) assessment and monitoring of performance referred to at Clauses 2.2.3.1 b) and
G.2.2.5.
2.2.5.2 The certification body shall ensure, and verify, that any subcontracted
body maintains records which satisfy the requirements of this document, of
assessment personnel who are subcontracted to the certification body.
2.2.6 Procedures for audit teams

Audit teams shall be provided with up-to-date assessment instructions and all
relevant information on certification arrangements and procedures.
2.3 Changes in the certification requirements
The certification body shall give due notice of any changes it intends to make in its
requirements for certification. It shall take account of views expressed by the
interested parties before deciding on the precise form and effective date of the
changes. Following a decision on, and publication of, the changed requirements it
shall verify that each certified disability employment service carries out any
necessary adjustments to its procedures within such time, as in the opinion of the
certification body, is reasonable.
Extract page

2.4 Appeals, complaints and disputes
2.4.1 Appeals, complaints and disputes brought before the certification body by
disability employment services or other parties shall be subject to the procedures
of the certification body.
2.4.2 The certification body shall:
a) keep a record of all appeals, complaints and disputes and remedial actions
relative to certification;
b) take appropriate corrective and preventive action;
c) document the actions taken and assess their effectiveness.

G.2.4.1 All complaints and disputes shall be dealt with in a constructive and timely
manner. Where operation of complaints and disputes procedures has not resulted
in the acceptable resolution of the matter or where the proposed procedure is
unacceptable to the complainant or other parties involved, the certification body’s
procedures shall provide for an appeals process. This appeals procedure should
provide:
a) the opportunity for the appellant to formally present its case;
b) an independent element or other means to ensure the impartiality of the
appeals process;
c) a written statement of the appeal findings to the appellant including the reasons
for the decisions reached.
G.2.4.2 The certification body shall ensure that all interested parties are made
aware, as and when appropriate, of the existence of the appeals, complaints and
disputes processes and the procedures to be followed.
G.2.4.3 Personnel, including those acting as managers, should not be employed to
investigate any appeal, complaint or dispute if they have been directly involved in
activities as described under Clause 2.1.2 o) towards the body in question, or any
body related to that body (see Clause G.2.1.21), within the last two years.
G.2.4.4 Complaints represent a source of information as to possible
nonconformity. On receipt of a complaint the certification body shall establish, and
where appropriate take action on, the cause of the nonconformity, including any
predetermining (or predisposing) factors within the certification body’s
management system.
G.2.4.5 The certification body should use such investigation to develop remedial/
corrective action, which should include measures for:
a) preventing recurrence;
b) assessing the effectiveness of the remedial / corrective measures adopted.
Extract page
Attachment A
Section 3: Requirements for certification
3.1 Application for certification
3.1.1 Information on the procedure

3.1.1.1 A detailed description of the assessment and certification procedure,
the documents containing the requirements for certification and documents
describing the rights and duties of certified disability employment services, shall
be maintained up-to-date as specified in Clause 2.1.7.1 and shall be provided to
applicants and certified disability employment services.
3.1.1.2 The certification body shall require that a disability employment service:
a) always complies with the relevant provisions of the certification program;
b) makes all necessary arrangements for conducting the assessment, including
provision for examining documentation and the access to all areas, records
(including internal audit reports) and personnel for the purposes of
assessment, surveillance, reassessment and resolution of complaints;
c) only claims that it is certified with respect to those activities for which it has
been granted certification;
d) does not use its certification in such a manner as to bring the certification body
into disrepute and does not make any statement regarding its certification
which the certification body may consider misleading or unauthorised;
e) upon suspension or withdrawal of its certification (however determined)
discontinues use of all advertising matter that contains any reference thereto
and returns any certification documents as required by the certification body;
f) uses certification only to indicate that the management system of the disability
employment service conforms with the Disability Services Standards or other
normative documents, and does not use its certification to imply that a product
or service is approved by the certification body;
g) ensures that no certification document, mark or report nor any part thereof is
used in a misleading manner;
h) in making reference to its certification in communication media such as
documents, brochures or advertising, complies with the requirements of the
certification body.
3.1.1.3 When the desired scope of certification is related to a specific

program, any necessary explanation shall be provided to the applicant.
3.1.1.4 If requested, additional application information shall be provided to
the applicant.
Extract page

3.1.2 The application

3.1.2.1 The certification body shall require an official application form duly
completed, and signed by a duly authorised representative of the applicant, in
which or attached to which:
a) the desired certification is defined;
b) the applicant agrees to comply with the requirements for certification and to
supply any information needed for its evaluation.
3.1.2.2 At least the following information shall be provided by the applicant prior
to the on-site assessment:
a) the general features of the applicant such as corporate entity, name,
addresses, legal status, and where relevant, human and technical resources;
b) general information concerning the disability employment service and the
activities it covers;
c) a description of the system to be certified;
d) a copy of the policies and procedures relevant to the Disability Services Standards.
The information gathered from the application documentation and the review of the
disability employment service’s policies and procedures may be used to prepare for
the on-site assessment and shall be treated with appropriate confidentiality.

G.3.1.1 The certification body shall require its certified disability
employment services to have procedures to ensure that the information
supplied to the certification body is kept up-to-date.
JAS-ANZ Guidance
J.3.1.1 The records of any internal audits, including records of consumer participation
during internal audits, shall be made available to the certification body on request.
3.2 Preparation for assessment

3.2.1 Before proceeding with the assessment, the certification body shall conduct,
and maintain records of, a review of the request for certification to ensure that:
a) the requirements for certification are clearly defined, documented and
understood;
b) any difference in understanding between the certification body and the
applicant is resolved;
c) the certification body has the capability to perform the certification service in
respect to the certification sought, the location of the applicant’s operations
and any special requirements such as the language used by the applicant.
3.2.2 The certification body shall prepare a plan for its assessment activities to
allow for the necessary arrangements to be managed.
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Attachment A
3.2.3 The certification body shall nominate a qualified audit team to evaluate all
material collected from the applicant and to conduct the audit on its behalf. Experts
in the areas to be assessed may be attached to the certification body’s team as
advisers.
3.2.4 The disability employment service shall be informed of the names of the
members of the audit team who will carry out the assessment with sufficient notice
to appeal against the appointment of any particular auditors or experts.
3.2.5 The audit team shall be formally appointed and provided with the
appropriate working documents. The plan for and the date of the audit shall be
agreed to with the disability employment service. The mandate given to the audit
team shall be clearly defined and made known to the disability employment
service, and shall require the audit team to examine the structure, policies and
procedures of the disability employment service and confirm that these meet all
the requirements relevant to the certification and that the procedures are
implemented and are such as to give confidence in the products, processes or
services of the disability employment service.

G.3.2.1 The review mentioned at Clause 3.2.1 is a preliminary review, preceding the
review meant in the rest of Section 3.
G.3.2.2 The reference to the language of the applicant at Clause 3.2.1 c) does not
exclude the possibility of using interpreters and other individuals as specialist
advisers to the assessment team.
JAS-ANZ Guidance
J.3.2.1 Annex 3 provides requirements for audit planning and consumer sampling.
The certification body shall have documented procedures which address all the
requirements in Annex 3.
3.3 Assessment
The audit team shall assess the disability employment service against each of the
auditable performance indicators that are associated with the Disability Services
Standards.

G.3.3.1 Certification bodies shall allow auditors sufficient time to undertake all
activities relating to an assessment. Annex 1 provides guidance on audit duration.
The certification body shall be prepared to substantiate or justify the amount of time
used in any assessment, surveillance or reassessment.
Extract page

G.3.3.2 Annex 2 provides guidance on multi-site certification.

G.3.3.3 Where QMS, EMS or other management system audits are conducted
simultaneously or consecutively with an audit against the Disability Services
Standards, there may be elements common to all systems. In determining auditor
competence for common elements, the main principle is that the integrity of each
assessment is maintained. This requires appropriate competence to be deployed for
all audit activities. It remains a matter of judgement which aspects of a Disability
Services Standards audit, or QMS or other audit can be performed by an auditor
whose training and background are from another discipline, and whether any
supplementary knowledge and/or training are required.
3.4 Assessment report
3.4.1 The certification body’s reporting procedures shall at least ensure that:
a) a meeting takes place between the audit team and the disability employment
service’s management prior to leaving the premises at which the audit team
provides a written or oral indication regarding the conformity of the disability
employment service with each key performance indicator and each Disability
Services Standard, and an opportunity for questions about the findings;
b) a written report of the assessment is promptly brought to the disability
employment service’s attention by the certification body;
c) the certification body shall invite the disability employment service to comment
on the written report and to describe the specific actions taken, or planned to
be taken within a defined time, to remedy any nonconformity identified during
the assessment.

G.3.4.1 In an audit which combines audits of more than one certification standard
(for example if it addresses ISO 9002 or ISO 14001, in addition to the Disability
Services Standards), the report shall clearly identify all requirements important to
each standard.
JAS-ANZ Guidance
J.3.4.1 Written reports of audits of disability employment services require more

than generic summary statements. Reports shall be of sufficient detail to facilitate
and support certification decisions and shall include:
a) the date(s) of audit(s);
b) the names of the person(s) responsible for the report;
c) the names and addresses of all sites audited;
d) the assessed scope of certification including reference to the Disability Services
Standards;
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Attachment A
e) an explanation of any differences from the information presented to the

disability employment service at the closing meeting, or in any preliminary or
draft report, if applicable;
f) a brief summary of the overall findings (conclusions) of the assessment,
including comments on the state of development (maturity) and effectiveness of
the disability employment service’s system to ensure compliance with the
Disabilities Services Standards, and hence the service’s capability to
systematically meet those Standards;
g) ratings of conformity against each key performance indicator and each
Disabilities Services Standard, in accordance with the rating scale and the
respective definitions of the ratings at clause J.1.3.1;
h) details of any non-conformities identified supported by objective evidence,
ensuring that any suggestions for addressing non-conformities are only made in
general terms, to avoid any perception of consultancy;
i) a brief description of the main evidence used to arrive at the ratings; including
areas covered by the assessment and significant audit trails followed;
j) where possible, suggestions for continuous improvement and positive findings
(noteworthy features), reported as observations.
J.3.4.2 Completed questionnaires/checklists/observation logs/auditor notes

might form an integral part of the report that meets the requirements at Clause
J.3.4.1. If these methods are used, these documents shall be retained by the
certification body as evidence to support the certification decision.
J.3.4.3 Information gathered during the certification process (which may include
information gathered from the application, the document review, the audit report(s)
etc.) shall:
a) be sufficient for the certification body to make an informed decision on certification;
b) allow traceability to be available if, for example, there is an appeal; or for
planning the next audit (possibly by a different team).
J.3.4.4 Having regard to Clause 2.1.8, the following information shall be available
in reports or other documents on the certification body’s files:
a) the supporting information and rationale for any Multi-site sampling decisions
shall be clearly documented and maintained up to date by the certification body
so that their basis is readily traceable;
b) sufficient information to trace all on-site audit duration’s, and the basis for the
calculations (number of consumers etc.);
c) any departure from the guidance on audit duration at Annexes 1 and 2, and
consumer sampling at Annex 3 shall be fully justified and documented in each case;
d) the number and type of stakeholders consulted with during each audit.
J.3.4.5 Where applicable, reports (eg. of surveillance, reassessment or follow-up

audits) shall document:
a) the clearing of each nonconformity revealed previously;

b) any useful comparison with the results of previous assessments of the disability
employment service.
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J.3.4.6 The content of reports of surveillance and reassessment audits of disability

employment services should ensure that coverage of requirements at Clauses
G.3.6.3 and G.3.6.6 is traceable.
J.3.4.7 The Department requires the certification body to send it copies of audit
reports where there exist any non-conformities. The Department may also request
copies of audit reports where there do not exist any non-conformities.
3.5 Decision on certification
3.5.1 The decision whether or not to certify a disability employment service

shall be taken by the certification body on the basis of the information gathered
during the certification process and any other relevant information. Those who
make the certification decision shall not have participated in the audit.
3.5.2 The certification body shall not delegate authority for granting,
maintaining, extending, reducing, suspending or withdrawing certification to an
outside person or body.
3.5.3 The certification body shall provide to each of its disability employment
services that is certified, certification documents such as a letter or a certificate
signed by an officer who has been assigned such responsibility. These documents
shall identify for the disability employment service and each of its sites covered by
the certification:
a) the name and address;
b) that the certification has been granted as a disability employment service that
meets the Disability Services Standards;
c) the effective date of certification, and the expiry date.
3.5.4 Any application for amendment to the certification that has already been
granted shall be processed by the certification body. The certification body shall
decide what, if any assessment procedure is appropriate to determine whether or
not the amendment should be granted and shall act accordingly.

G.3.5.1 The entity, which may be an individual, which takes the decision on
granting/withdrawing a certification within the certification body, should
incorporate a level of knowledge and experience sufficient to evaluate the audit
processes and associated recommendations made by the audit team.
G.3.5.2 Certification shall not be granted until all non-conformities as defined in
Clause J.1.3.1 have been corrected and the correction verified; and is also subject to
a satisfactory outcome of an investigation by the Department of any allegations in
relation to notifiable issues.
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Attachment A
G.3.5.3 Appropriately competent personnel shall independently review

surveillance reports for evidence of adequate audit performance and reporting and
to review whether the original certification decision needs to be reconsidered. This
review need not repeat the original decision process. The review should be
conducted at least annually for each certification.
G.3.5.4 All certification documents shall identify the term for which the certification
is valid. It is recommended that this term be compatible with the arrangements for
reassessment, but this link is not a requirement. For guidance on the transfer of
accredited certification, see Annex 5.
G.3.5.5 For a certification document to be regarded as accredited, it shall be issued
by a certification body in accordance with the conditions of its accreditation and
unambiguously identify JAS-ANZ (by including the JAS-ANZ mark) and the issuing
certification body.
JAS-ANZ Guidance
J.3.5.1 The certification body shall advise the Secretary of the Department, in
writing, of the results of each audit within 5 working days of making the decision on
certification, by either:
a) sending a copy of the final version of the report to the Department; or
b) sending the Department a summary of the results of the audit which covers:
1) organisation’s certification rating
2) date certification granted
3) date certification due to expire;
4) ratings of conformity against each key performance indicator and each
Disability Services Standard;
5) copies of the non-conformities and observations raised, if any;
6) location addresses of each outlet assessed for certification;
7) date and type of next audit; and
8) name and role of all people on audit team.
J.3.5.2 The certification body shall advise the Secretary of the Department in
writing within 5 working days if certification is suspended or withdrawn, or where
there are any changes in decisions relating to the status of certification, and the
reasons for those decisions.
J.3.5.3 Where the certification body that issued the certification documents
referred to at Clause 3.5.3 ceases to be accredited, certification of any disability
employment services certified by that certification body is deemed to continue for
three months after the date accreditation ceases, or until the dates of expiry on the
relevant certification documents (whichever is earlier).
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3.6 Surveillance and reassessment procedures
3.6.1 The certification body shall carry out periodic surveillance and
reassessment at sufficiently close intervals to verify that its certified disability
employment services continue to comply with the certification requirements.

G.3.6.1 Certification bodies shall have clear procedures laying down the
circumstances and conditions in which certification will be maintained.
G.3.6.2 Surveillance undertaken by the certification body shall give assurance that
its certified disability employment services continue to comply with the
requirements of the Disability Services Standards. The certification body should
have the facilities and procedures to enable it to achieve this.
JAS-ANZ Guidance
J.3.6.1 Surveillance of certified disability employment services shall be
undertaken annually.
J.3.6.2 Reassessments of certified disability employment services shall be
undertaken at intervals not exceeding three years.
3.6.2 Surveillance and reassessment procedures shall be consistent with those
concerning the assessment of the disability employment service as described in
this document.
G.3.6.3 At each surveillance the certification body should check the following and
interview the responsible management:
a) the effectiveness of the disability employment service’s management system in
achieving its objectives;
b) changes to the system;
c) Disability Services Standards 7 and 8;
d) the functioning of procedures for receiving, documenting and responding to
complaints and communications from external interested parties;
e) the functioning of procedures for the periodic evaluation and review of
compliance with relevant legislation and regulations;
f) progress of planned activities aimed at continual improvement of system
performance;
g) action taken on non-conformities identified during the last audit;
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Attachment A
h) use of marks and logos;

i) other selected Disability Services Standards;
j) records of appeals, complaints and disputes brought before the certification
body, and where any nonconformity or failure to meet the requirements of
certification is revealed, that the disability employment service has investigated
its own systems and procedures and taken appropriate corrective action.
G.3.6.4 The surveillance activities shall be subject to special provision if a certified

disability employment service makes major modifications to its system or if other
changes take place which could affect the basis of its certification.
G.3.6.5 The purpose of reassessment programs is to verify overall continuing
effectiveness of the disability employment service’s management system in its
entirety. The reassessment should provide for a review of past performance of the
system over the period of certification. The reassessment program should take into
consideration the results of the above review and should at least ensure:
a) the effective interaction between all elements of the system;
b) the overall effectiveness of the system in its entirety in the light of changes in
operations;
c) demonstrated commitment to maintain the effectiveness of the system;
d) consultation with consumers.
3.7 Use of certificates and logos
3.7.1 The certification body shall exercise proper control over ownership, use
and display of its certification mark and logos.
3.7.2 If the certification body confers the right to use a symbol or logo to
indicate certification of a disability employment service, the disability employment
service may use the specified symbol or logo only as authorised in writing by the
certification body. This symbol or logo shall not be used on a product, or in a way
that may be interpreted as denoting product conformity.
3.7.3 The certification body shall take suitable action to deal with incorrect
references to the certification system or misleading use of certificates and logos
found in advertisements, brochures, etc.
NOTE 4. Such action could include corrective action, withdrawal of certificate,
publication of the transgression and, if necessary, other legal action.
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G.3.7.1 The certification body should have documented procedures for the use
of its marks, and procedures it is to follow in case of misuse, including false claims
as to certification and false use of certification body marks.
G.3.7.2 If a certification body incorrectly claims accredited status for
certificates issued without prior authorisation of JAS-ANZ, JAS-ANZ may require it
subsequently to withdraw them.
G.3.7.3 The provisions in Clause 3.7.1 referring to “certification mark and
logos” and that in Clause 3.7.2 referring to a “symbol or logo” are both applicable to
marks, logos and symbols.
G.3.7.4 A certification body should have procedures to ensure that certified
disability employment services do not allow its marks to be used in a way which
may be likely to confuse consumers.
JAS-ANZ Guidance
J.3.7.1 The marks, symbols or logos referred to at Clause 3.7.2 may only be
used on stationery or in advertising material. They shall not be used on packaging of
products produced by a disability employment service.
3.8 Access to records of communications with

external interested parties
The certification body shall require each certified disability employment service to
make available to the certification body, when requested, the records of all
communications and action taken in relation to the requirements of the Disability
Services Standards or other normative documents.

G.3.8.1 Clause 3.8 deals only with communications including complaints
received by the certificate holder (disability employment service), not by the
certification body.
G.3.8.2 Complaints represent a source of information as to possible
nonconformity. On receiving a complaint the certified disability employment service
should establish, and where appropriate report on, the cause of the nonconformity,
including any predetermining (or predisposing) factors within the disability
employment service.
G.3.8.3 During surveillance audits certification bodies should check where any
such nonconformity or failure to meet the requirements of the Disability Services
Standards is revealed, that the disability employment service has investigated its
own systems and procedures and taken appropriate corrective action.
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Attachment A
G.3.8.4 The certification body should satisfy itself that the disability
employment service is using such investigations to develop remedial/corrective
action, which should include measures for:
a) notifying appropriate authorities if required by regulation;

b) restoring conformity as quickly as practicable;
c) preventing recurrence;
d) evaluating and mitigating any adverse impacts;
e) ensuring satisfactory interaction with other components of the disability
employment service’s management system;
f) assessing the effectiveness of the remedial/corrective measures adopted;
g) consultation with consumers.
G.3.8.5 The implementation of the remedial/corrective action should not be

deemed to have been completed until its effectiveness has been demonstrated and
the necessary changes made in the procedures, documentation and records.
JAS-ANZ Guidance
J.3.8.1 “Communications” includes “complaints”.
J.3.8.2 Certification bodies shall have due regard to privacy and confidentiality
issues and take into account expressed and implied views of consumers regarding
complaints.
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ANNEX 1 - Audit Duration

1. The table below provides guidance on the amount of time required by the
certification body for the assessment of single-site disability employment
services of various sizes. It does this by indicating the number of auditor-days to
be spent on-site by the certification body at each disability employment service
for initial assessment, annual surveillance and reassessment.
2. It is clearly understood that some disability employment services of a particular
size will need more time. In exceptional cases (such as existing ISO 9000
certification), audit time might be able to be reduced below the minimums in the
table. Where less time than that proposed below is used then the justification
shall be documented on each occasion.
3. The certification body should have a procedure for determining the amount of
time necessary, which should allow flexibility in the light of what is found during
an assessment. The time allocated should be based on such factors as:
a) where the disability employment service lies in the size range;
b) the type of service (supported or open). A supported employment service
with consumers working together on-site provides a more definitive area for
assessment, whereas consumers from an open employment service are
dispersed;
c) the state and maturity of its management system (stable or developing), and
what is known of its own internal review and audit procedures;
d) communication abilities of consumers;
e) ratio of staff to consumers and their support needs.
4. In the table below the auditor days shown in the “On-site minimum” columns
apply to a disability employment service with a single site; are based on an 8
hour working day including 1 hour for lunch, and exclude all activities other than
auditing. The times are to be regarded as true minimums: planning, preparation,
travel time and reporting are not to be included. If the document review or other
pre-audit activities are done on-site in conjunction with the certification audit, the
time for these activities is not to be included. The same applies to on-site report
writing. Where two or more team members work together (eg. auditor plus
technical expert asking questions of the same auditee or consumer), that time
shall be counted as if a single auditor was involved.
Number of consumers Initial assessment: on-site Annual surveillance: on-site Reassessment: on-site
minimum auditor days minimum auditor days minimum auditor days
Less than 30 2 1 2
31 - 100 3 1 3
Over 100 4 2 4
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Attachment A
ANNEX 2 - Multi-site Certification
1 Introduction
1.1 The aim of this Annex is to establish criteria for the assessment and, if
appropriate, the certification of disability employment services with a network of
sites, thus ensuring that the assessment provides adequate confidence in the
conformity of the disability employment service, while being practical and
economically feasible.
2 Definitions
2.1 A Multi-site disability employment service is one having a central function

(referred to as a central office) at which certain activities are planned, controlled or
managed; and a network of local offices or branches (sites) at which such activities
are fully or partially carried out.
2.2 This means that the central office has rights to implement corrective
actions when needed at any site. Where applicable, this should be formalised by
means of contracts, policies and/or procedures between the central office and the
sites.
2.3 Examples of possible Multi-site disability employment services include:

a) services with multiple outlets performing different business functions (eg.
both open and supported employment services);
b) services with multiple outlets all performing similar activities at different
sites.
3 Eligibility criteria for the disability employment service
3.1 The services provided by all the sites have to be substantially of the same
kind and have to be produced fundamentally according to the same methods and
procedures.
3.2 The disability employment service’s management system shall be centrally
administered under a centrally controlled plan and be subject to central
management review. All the relevant sites (including the central administration
function) shall be subject to the disability employment service’s internal audit
program and shall have been audited in accordance with that program before the
certification body starts its assessment.
3.3 It shall be demonstrated that the central office of the disability employment
service has established a management system which complies with the Disability
Services Standards and that the whole disability employment service meets the
requirements of those standards.
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Attachment A
6 Dealing with non-conformities
6.1 When non-conformities are found at a site, either through the disability
employment service’s internal auditing or from auditing by the certification body,
investigation should take place to determine whether other sites may be affected.
Therefore, the certification body shall require the disability employment service to
review the non-conformities to determine whether they indicate an overall system
deficiency applicable to all sites or not. If they are found to do so, corrective action
shall be performed at the central office and at the individual sites. If they are found
not to do so, the disability employment service should be able to demonstrate to the
certification body the justification for limiting its follow-up action.
6.2 The certification body shall require evidence of these actions and increase
its sampling frequency until it is satisfied that control is re-established.
6.3 At the time of the decision-making process, if any site has a nonconformity,
certification shall be denied to the whole network pending satisfactory corrective
action.
6.4 It shall not be admissible that, in order to overcome the obstacle raised by
the existence of a nonconformity at a single site, the disability employment service
seeks to exclude from the scope the “problematic” site during the certification
process.
7 Certification
7.1 One certificate shall be issued with the name and address of the central
office of the disability employment service. A list of all the sites to which the
certification relates shall be issued, either on the certificate itself, or in an appendix,
or as otherwise referred to on the certificate. The scope or other reference on the
certificate shall make clear that the certified activities are performed by the network
of sites listed. If the certification scope of the sites is only part of the general scope
of the disability employment service, its applicability to all the sites shall be clearly
stated on the certificate and any annex.
7.2 A sub-certificate may be issued to the disability employment service for
each site covered by the certification on condition that it contains the same scope,
or a sub-scope of that scope, and includes a clear reference to the main certificate.
7.3 The certification will be withdrawn if the central office or any of the sites
does not fulfil the necessary criteria for maintaining certification.
7.4 The list of sites shall be kept updated by the certification body. Hence the
certification body shall require the disability employment service to inform it about
the closure of any of the sites. Failure to provide such information will be considered
by the certification body as a misuse of the certification, and it will act according to
its procedures.
7.5 Additional sites can be added to an existing certificate as the result of
surveillance or reassessment activities.
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8 Sampling methodology
8.1 The sample should be partly selective based on the factors set out below
and partly non-selective, and should result in a range of different sites being
selected, without excluding the random element of sampling. Where possible, at
least 25% of the sample should be selected at random.
8.2 Taking into account the criteria mentioned below, the remainder should be
selected so that the differences among the sites selected over the period of
certification are as large as possible.
8.3 The site selection criteria may include:

a) results of internal audits or previous assessments;
b) records of complaints and communications with the Department and other
relevant aspects of corrective and preventive action;
c) significant variations in the size of the sites and number of consumers;
d) variations in the work procedures;
e) the complexity of the activities undertaken;
f) modifications since the last assessment;
g) geographical location and dispersion.
8.4 This selection does not have to be done at the start of the assessment process.
It can also be done once the assessment at the central office has been completed. In any
case, the central office shall be informed of the sites to be part of the sample. This can
be on relatively short notice, but should allow adequate time to prepare for the audit.
8.5 The central office shall be examined during every certification audit and at
least annually as part of surveillance.
9 Size of sample
9.1 The certification body shall have a procedure for determining the sample to
be taken when auditing sites as part of the assessment and certification of a multi-
site disability employment service. This should take into account all the factors
described in this Annex.
9.2 The minimum number of sites to be visited per audit is:
Initial audit and reassessment: the size of the sample shall not be less than the square
root of the number of remote sites (y= ), rounded to the upper whole number.
Surveillance audit: the size of the annual sample shall not be less than the square
root of the number of remote sites with 0.6 as a coefficient (y=0.6 ), rounded to
the upper whole number.
9.3 In all cases, the central office shall be visited in addition to the number of
sites sampled.
9.4 The size of the sample should be increased where the certification body’s
analysis of the disability employment service indicates special circumstances such
as any of the site selection criteria at Clause 8 of this Annex.
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Attachment A
9.5 When the disability employment service has a hierarchical system of

branches (eg. head office / national offices / regional offices / local branches), the
sampling model as defined above applies to each level.
Example:
1 head office: visited at each audit (initial/surveillance/reassessment)
4 national offices: sample = 2: minimum 1 at random
27 regional offices: sample = 6: minimum 2 at random
1700 local branches: sample = 42: minimum 11 at random.
9.6 A Multi-site disability employment service may offer different forms of
employment, or separately service groups of consumers with similar disabilities
within its network of sites. Examples:
a) sites offering open employment;
b) other sites offering supported employment where the type of work offered is
similar across all sites;
c) sites offering supported employment where the work offered varies
substantially between sites;
d) any of the above offered to separate groups of consumers with specific
disability types.
9.7 These examples are to be considered as separate populations of sites, and
the sampling formulas defined above shall be applied to each population. Where
the disability employment service also has a hierarchical structure and would
otherwise be sampled at each level, the sampling model which results in the
largest sample shall be applied.
10 Audit duration
10.1 The certification body must be able to justify the time spent on Multi-site
assessment in terms of its procedures for calculating audit duration. Normally the
number of auditor-days per site should be consistent with the number shown in the “on
site minimum” columns in the table in Annex 1. Reductions can be applied to take into
account the location of information, evidence or interviewees needed to test compliance
with the Disability Services Standards. The sizes of the sites and the complexity of the
activities undertaken are other factors that may be taken into consideration.
10.2 The total audit time spent (ie. the sum of the time spent at each site plus
the central office) should never be less than that which would have been calculated
for the size and complexity of the operation if all the work had been undertaken at a
single site (ie. with all the employees of the disability employment service at the
same site). In most cases it will be considerably more.
11 Additional sites
11.1 On application for a new group of sites to join an already certified Multi-site
network, each new group of sites should be considered as an independent set to
determine the sample size. After including the new group on the certificate, the new
sites should be added to the previous ones to determine the sample size for future
surveillance or reassessment audits. The rules for sampling a hierarchy or separate
populations of sites will apply if the new group of sites is not homogenous.
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3.4 The disability employment service shall demonstrate its ability to collect
and analyse data (including but not limited to the items listed below) from all sites
including the central office, and its authority and ability to initiate organisational
change if required:
a) system documentation and system changes;
b) management review;
c) complaints;
d) evaluation of corrective actions;
e) internal audit planning and evaluation of the result.
4 Eligibility criteria for the certification body
4.1 The certification body shall provide information to the disability

employment service about the criteria in this Annex before starting the assessment
process, and should not proceed with it if any of the criteria are not met. Before
starting the assessment process, it shall inform the disability employment service
that the certificate will not be issued if during the assessment non-conformities in
relation to these criteria are found.
4.2 The certification body’s procedures shall ensure that the initial contract
review identifies the complexity and scale of the activities covered by the
management system to be certified and any differences between sites as the basis
for determining the level of sampling.
4.3 The certification body shall check, in each case, to what extent sites of a
disability employment service provide substantially the same kind of services
according to the same procedures and methods. The certification body may apply
the sampling procedure to individual sites only after it has confirmed that all the
sites proposed for inclusion in the Multi-site exercise meet the criteria.
4.4 If all the sites of a disability employment service where the activity subject
to certification is performed are not ready to be submitted for certification at the
same time, the disability employment service shall be required to inform the
certification body in advance of the sites that it wants to include on the certificate.
5 Assessment
5.1 The certification body shall have documented procedures to deal with
assessments under its Multi-site procedure. Such procedures shall establish the
way the certification body satisfies itself that all the criteria in Clause 3 above are
met.
5.2 If more than one audit team is involved in the assessment or surveillance of
the network, the certification body should designate a unique audit leader whose
responsibility is to consolidate the findings from all the audit teams and to produce
a synthesis report.
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ANNEX 3 - Audit Planning and Consumer Sampling
1 Sampling principles
1.1 The certification body shall observe the following principles when sampling
consumers for an audit of a disability employment service:
a) the certification body should select the sample of consumers to be interviewed.

This ensures that the sample is not influenced by other stakeholders which
might inhibit the collection of accurate data;
b) the certification body shall attempt to represent the demographics of the
consumers being assisted by the service, when selecting consumers for
sampling (‘stratified sampling’). It shall therefore collect sufficient information
from the disability employment service as part of the audit planning process to
allow it to adequately sample consumers. Some of the demographics to
consider are:
1) disability type;
2) gender;
3) age;
4) home or living situation (eg. group home; with parents; in community);
5) cultural, religious or language differences;
6) working or not working;
7) length of tenure with service (includes those on a waiting list and those
exited);
c) although the focus of this Annex is on sampling consumers, certification bodies
should always keep in mind the potential to gather useful evidence from other
key people, and sample accordingly. Other key people include:
1) staff;
2) parents of consumers;
3) carers;
4) advocates;
5) other workers in open employment;
6) employers;
d) the certification body should try to ensure that all consumers serviced by the
disability employment service are notified of the intent to conduct an audit, and
that where practicable, all consumers have the right to talk with any of the audit
team members if they choose to.
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Attachment A
2 Collecting data for the sample of consumers
2.1 One way of collecting information for sampling consumers is to ask the
disability employment service to develop a summary of consumer profiles as a
matrix; eg. with demographics along the top and consumers down the side. When
the matrix is completed, the certification body can select representative consumers,
noting that:
a) there is no need to enter the names of consumers in the matrix, and in any case,
the disability employment service should be discouraged from linking consumer
names to demographic details when providing information to certification
bodies to plan an audit;
b) after taking the demographics into account, and if consumer numbers permit
this, samples should then be randomly selected.
3 Consumer sample size
3.1 Having regard to Annex 4, Clause 2 e) 2), the minimum number of

consumers to be sampled for an audit of a disability employment service (or per
site, for a multi-site disability employment service) is:
Initial audit and reassessment: the size of the sample shall be the square root of the
number of consumers (y= ), rounded to the upper whole number.
Surveillance audit: the size of the annual sample shall be 0.6 times the square root
of the number of consumers (y=0.6 ), rounded to the upper whole number.
3.2 The certification body should aim to individually interview face to face at
least 50% of the sample of consumers. If this ratio cannot be achieved (eg. refusals
or clear preference by consumers for another consultation method), the certification
body shall clearly document its justification. The remaining 50% may be sampled
using a variety of other methods including:
a) focus group;
b) telephone;
c) written survey;
d) casual or informal conversation which may not require a consent (eg. factory
walk-around). Note: the certification body should not rely on this method for
more than 25% of the total sample.
3.3 The sample of consumers will normally include exited consumers and
consumers on a waiting list, as per Clause 1.1 b) 7) of this Annex.
© Australian Government Department of Family and Community Services, 2003 Quality Assurance Handbook Issue 2, May 2003 46
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3.4 A single site of a disability employment service may offer different forms of
employment, or separately service groups of consumers with similar disabilities
from that single site - see equivalent examples at Annex 2, Clause 9.6. The
emphasis here is on separate servicing of groups of consumers, not individual
consumers, such that the disability service's procedures and policies vary according
to the group. Where a single site exhibits such variability, separate populations of
consumers shall be considered to exist within that one site, and the consumer
sampling formulas defined in this Annex shall be applied to each population.
4 Consumer file sampling
4.1 One aim of file sampling is to cross-check verbal information gathered from
consumers; another is to check implementation of the disability employment
service’s policies and procedures. Where possible, consents obtained for consumer
interviews should also grant permission by consumers for the audit team to review
the relevant files. This may result in an adequate sample of files to review.
4.2 However, there will be times when consumers agree to be interviewed, but
not to allow access to their files; and vice versa. While the principles applying to
consumer sampling also initially apply to file sampling (ie. the certification body
selects files, and files chosen represent the demographics), the certification body
may also need to follow-up on files specific issues identified during interviews with
consumers or others. This requires wider access to files, and the certification body
should try to obtain appropriate additional consents, to maximise the number of
files available for review.
4.3 In any case, the number of files available for review should not be less than
5 per disability employment service (or per site, for a multi-site service); otherwise
the validity of the audit could be compromised.
5 Traceability of audit planning and consumer sampling

processes
5.1 Certification bodies should be prepared to justify the sampling of

consumers for an audit. Any reduction in the sample size must be justified and
documented in each case (eg. where sufficient consents cannot be obtained). The
certification body should pay particular attention to the validity of the results of the
audit where the sample size is likely to be 30% or more below the numbers which
would apply using the above sampling models. If in doubt about the validity, advice
should be sought from the Department before the audit begins.
5.2 While Clause 3.2.2 requires an audit plan to be prepared, sampling
strategies must also be sufficiently documented for each audit of a disability
employment service so as to be able to trace compliance with all the requirements
of this Annex. This information may be included on, or attached to the audit plan, or
may be separately recorded. Note: the sampling strategies do not have to be made
available to the disability employment service.
Extract page
Attachment A
6 Audit planning time
6.1 Because of the complexities of sourcing information and obtaining the

necessary consents to arrange effective and representative consumer sampling,
planning for an audit of a disability employment service will typically take longer
than planning for other types of audits (such as ISO 9000). As large variations are
likely, guidance on planning times is not provided; however certification bodies will
be expected to devote sufficient time and resources to ensure that all the
requirements of this Annex are complied with for each audit of a disability
employment service.
7 Planning for audit reporting
7.1 Linking government funding of a disability employment service to the

outcome of an audit by a third party is a major policy shift for a sector which is not
necessarily familiar with quality terminology, or the jargon that another supplier of
goods or services might be exposed to, in voluntarily seeking certification to ISO
9000. Therefore it is incumbent on the certification body to take the time to clarify
requirements when necessary during the audit, and to fully explain its audit findings
to the satisfaction of the disability employment service at the audit closing meeting
and in the written report. Audits must therefore be planned to allow sufficient time
and resources for these activities; for example, to report compliance against each
key performance indicator, and to fully comply with the reporting requirements at
Clause 3.4 and associated guidance Clauses. Again, large variations are likely, so
guidance on expected reporting times is not provided. However, positive reporting
is expected. In particular, ‘tick-box’ or largely proforma written reports will not be
acceptable.
Extract page

ANNEX 4 - Code of Ethics

1. Clauses 2.2.2.2 and 2.2.2.3 of this document require that all audit team
members have the personal attributes listed in ISO 10011-2, Clause 7. Auditors
registered with a recognised personnel certification body (such as the Quality
Society of Australasia) must also agree to abide by a code of ethics.
2. However, when developing and implementing their policies and procedures for
certification of disability employment services, certification bodies should
consider the following ethical and professional issues:
a) audit team selection procedures appropriately address the differential
support costs of team members with a disability and the potential for
indirect discrimination. Certification bodies should also bear in mind the
provisions of the Disability Discrimination Act 1986. Note: in this context the
Department will continue to pay reasonable support costs;
b) processes for obtaining a representative sample of consumers respect a
consumer’s right to be or not to be involved and the confidentiality and
privacy of a consumer’s participation decisions;
c) available complaints mechanisms are promoted to service providers and
participating consumers;
d) the certification body shall have regard to the findings of the Disability and
Quality Standards Working Party (Assuring Quality, April 1997), which
include:
1) that people with disabilities should have the opportunity to effectively
participate in quality assurance systems;
2) that they should occupy roles in which power can be exercised - “they
must have authority”;
3) that “proven quality assurance methods rely on genuine participation
by the service user”;
e) during the assessment process:
1) all consumers have the right and opportunity to be involved and
consulted;
2) consumers have the right not to be involved;
3) consumers’ confidentiality and privacy are to be respected;
4) a representative(s) of the consumers of the service shall be involved in
the assessment and shall be invited to be present at the opening and
closing meetings. The certification body should at least ensure that the
disability employment service has invited such participation by the
consumer representative(s);
5) consumers have the right to advocacy and support to assist with having
their say.
Extract page
Attachment A
ANNEX 5 - Transfer of Accredited Certification

1 Introduction
1.1 This Annex provides guidance on the transfer of Disability Services

Standards certificates between certification bodies. It should be read in conjunction
with Clauses G.2.1.1, G.3.5.4 and 3.8.
1.2 The objective of this guidance is to ensure that the integrity of accredited
Disability Services Standards certificates issued by one certification body is
maintained if subsequently transferred to another certification body.
1.3 These are minimum requirements for transferring certification. Certification
bodies may implement more stringent procedures or actions provided that a
disability employment service’s freedom to choose a certification body is not unduly
or unfairly constrained.
1.4 Transfer of certification means the recognition of a Disability Services
Standards certificate granted by one accredited certification body, referred to as the
“issuing certification body”, by another accredited certification body, referred to as
the “accepting certification body”, for the purpose of issuing its own certificate.
2 Pre-transfer review
2.1 Only certificates which are covered by JAS-ANZ accreditation may be

transferred. Holders of certificates that are not covered by JAS-ANZ accreditation
shall be treated as new clients.
2.2 A competent person from the accepting certification body shall review the
status of the applicant’s certification. This review should include a visit to the
applicant but, in exceptional circumstances, eg. excessive distance between
applicant and accepting certification body, a paper enquiry may be justified. The
review shall cover and document:
a) confirmation that the client’s certified activities fall within the accredited
scope of the accepting certification body;
b) the reasons for seeking a transfer;
c) that a valid accredited certificate, in terms of authenticity, duration, scope of
activities covered by the Disability Services Standards certificate, and scope of
accreditation, is held in respect of the site or sites wishing to transfer. If practical,
the status of certification and that of outstanding non-conformities should be
verified with the issuing certification body where it has not ceased trading;
d) consideration of the original copies of the last assessment or reassessment
report, subsequent surveillance reports and any outstanding non-
conformities. This consideration should also include any other available,
relevant documentation regarding the certification process eg. handwritten
notes, checklists;
e) complaints received and action taken;
f) the stage in the current certification cycle. See Clause 3.4 of this Annex.
Extract page

3 Certification
3.1 Transfer should normally only be of a current valid accredited certificate,

but if the certificate was issued by a certification body that has ceased trading, or
that has had its accreditation withdrawn, the accepting certification body may, at its
discretion, consider such a certificate for transfer on the basis described in this
guidance.
3.2 Certificates which are known to have been suspended or to be under threat
of suspension should not be accepted for transfer.
3.3 Outstanding non-conformities should be closed out, if practical, with the
issuing certification body, before transfer. Otherwise they should be closed out by
the accepting certification body.
3.4 If no further outstanding or potential problems are identified by the pre-
transfer review, a certificate dated from the date of completion of the review may be
issued following the normal decision making process. The pattern of the previous
certification regime should be used to determine the program of surveillance and
reassessment unless, as a result of the review, the accepting certification body has
performed an initial audit or reassessment.
3.5 Where doubt continues to exist, after the pre-transfer review, as to the
adequacy of a current or previously-held certification, the accepting certification
body should, depending upon the extent of doubt, either:
a) treat the applicant as a new client; or

b) conduct a conversion assessment concentrating on identified problem
areas. The decision as to the action required will depend upon the nature
and extent of any problems found and should be explained to the applicant.
Extract page
CONTENTS
Extract page
Glossary
TERM DESCRIPTION
Accreditation Process by which an authoritative body (JAS-ANZ) gives

formal recognition that a certification body is competent to
carry out certification. This assessment is carried out by JAS-
ANZ against criteria set out in General Requirements for
Bodies Operating Assessment and Certification of Disability
Employment Services (Procedure 18).
Audit Cycle A three-year cycle of annual surveillance audits, ending with
a full reassessment against all the Disability Services
Standards.
Audit Team A team of competent personnel identified by a certification
body as meeting the required team competencies set down
in JAS-ANZ Procedure 18. A person with a disability will be
included in the team either as a lead auditor, or a technical
expert.
Auditor A member of the assessment or audit team who meets the
requirements of ISO 10011-2, and who has the competencies
specified as Clause J.2.2.2. of JAS-ANZ Procedure 18.
Certification Process by which a third party gives written assurance that a
disability employment service conforms to the requirements
of the Disability Services Standards.
Certification body A third party which assesses and certifies with respect to the
Disability Services Standards.
Commendable The disability employment service demonstrates a high level

of achievement, innovation, creativity and continuous
improvement in meeting the requirements of a performance
indicator associated with a Disability Services Standard.
Complaint Resolution The Complaint Resolution and Referral Service is a key
and Referral Service component of the quality strategy has been established for
consumers.
Conformity The requirements of a performance indicator associated with
a Disability Services Standard are met.
Consumer Primarily, a person with a disability who has applied for/is

receiving/has received a service from the disability
employment service being assessed. Consumer may also
mean family member/s or an unpaid primary carer or
advocate of that person with a disability.
Extract page
Attachment B
TERM DESCRIPTION
Continuous An organisation’s strive for excellence in establishing and

improvement maintaining quality services that continually improve
performance to achieve better outcomes for service users.
Department Department of Family and Community Services (FaCS).
Disability Employment An employment organisation receiving funding under the
Service Commonwealth Disability Services Act 1986. Note: wherever
disability employment service is mentioned in this
document, it shall be read as also referring to CRS Australia.
Disability Service These 12 standards define the Government’s requirements

for service quality and directly link to each funded service’s
Standards
course processes and outcomes.
The 12 Disability Service Standards are a revised set of the
original Disability Service Standards that came into effect in
March 1993.
There are 2 new standards as at 1 July 2002:
- protection of human rights and freedom from abuse
- staff recruitment, employment and training.
DMI Disability Maintenance Instrument
DPI Disability Pre-employment Instrument
FaCS Department of Family and Community Services.
Internal audit (of a disability employment service): self-verification, in
consultation with consumers, to see whether disability
employment service activities and related results comply
with planned arrangements, and determine compliance with
the Disability Service Standards.
JAS-ANZ The Joint Accreditation System of Australia and New Zealand.
JAS-ANZ is a not-for-profit, self-funding international
organisation established under a Treaty between the
governments of Australia and New Zealand on 30 October
1991. JAS-ANZ is the government-appointed peak
accreditation body for Australia and New Zealand for
certification of management systems, products, personnel,
training course providers and sector-specific schemes. JAS-
ANZ accreditation of a certification body provides the
necessary confidence that the certification body has
undergone and passed a JAS-ANZ assessment to test its
independence, impartiality, integrity and competence.
Extract page
Glossary
TERM DESCRIPTION
Key Performance Measures of service performance against the revised Disability

Indicators (KPI’s) Service Standards.
Major non- The requirements of a key performance indicator associated
conformity with a Disability Services Standard are not met, or the outcome
is ineffective. A number of related non-conformities may also
constitute a major nonconformity. The certification body’s
procedure shall ensure that:
a) verification of effective corrective action shall require a
follow-up visit by the certification body before certification. If the
service is already certified, evidence of a corrective plan shall be
presented to the certification body within 5 working days and
require reassessment of the service against the performance
indicator within three months;
b) failure to action the major nonconformity within three
months, or take action sufficient to downgrade the major
nonconformity to a nonconformity, shall result in automatic
suspension or withdrawal of certification;
c) the certification body notifies the Department within 10
working days of raising a major nonconformity.
Non – conformity The requirements of a key performance indicator associated with a
Disability Services Standard are not fully met, or the outcome is
only partly effective. The certification body’s procedures shall
ensure that:
a) evidence of effective corrective action shall be presented to
the certification body by the disability employment service before
certification, or within six months if the service is already certified;
b) failure to action a nonconformity within six months may lead
to the nonconformity being upgraded to a major nonconformity;
and in addition, a major nonconformity may be raised with the
disability employment service’s corrective action process.
Observations Opportunity for improvement or positive feedback.

Observations, which are opportunities for improvement, do not
prevent certification, but they should be carefully considered
by management and addressed wherever possible, to ensure
that conformity is not compromised in the future.
Principles and The Principles and Objectives of the Commonwealth Disability
objectives Services Act 1986 set out the basic human rights which all
services supporting people with disabilities should meet. The
Principles recognise that people with disabilities have the
same fundamental rights as do other members of society.
The Objectives relate more directly to service delivery, that is,
the way in which a service operates.
Extract page
Attachment B
TERM DESCRIPTION
Procedure 18 The document General Requirements for Bodies Operating

Assessment and Certification of Disability Employment Services
which sets down the requirements (accreditation criteria) for
bodies seeking accreditation by the Board of the Joint
Accreditation System of Australia and New Zealand (JAS-ANZ), to
assess disability employment services and certify that they meet
the Disability Services Standards set down by the Australian
Government Department of Family and Community Services.
Quality assurance A systematic way of checking that an organisation meets set standards.
Quality management Systems to establish quality policy and quality objectives and to
systems and practices achieve those objectives.
Quality Strategy The quality strategy is a three-pronged approach to embed quality
in all aspects of service delivery. It has three components:
◗ quality assurance
◗ continuous improvement
◗ complaints and appeals.
Rating Scale The system used by the Department to rate conformity of a
disability employment service. Each key performance indicator
associated with a Disability Services Standard is to be rated
according to the scale below. A Disability Services Standard is to
be rated the same as the lowest rating of any of its associated key
performance indicators:
a) major non conformity is 0;
b) nonconformity is 1;
c) conformity is 2;
d) commendable is 3.
Surveillance audit An audit conducted at least annually by a certification body to
verify that a certified disability employment service continues to
comply with the Disability Services Standards.
Technical Expert A member of the assessment or audit team engaged to
supplement the background knowledge of the team;
eg. Where there are critical requirements and special procedures.
A technical expert need not meet all the requirements of ISO
10011-2, and in this case, he/she should always work under the
direct supervision of an auditor, except where the particular
circumstances of interviews with consumers preclude this.
All technical experts shall at least meet the requirements of Clause
7 of ISO 10011-2.
Working Party Disability Quality Standards Working Party. The Working Party has
been instrumental in developing the quality strategy.
Extract page
CONTENTS
Extract page
Useful Contacts
Useful Contacts
ACCREDITATION BODY CONTACT NAME / TITLE CONTACT DETAILS
Joint Accreditation System Mr John Dean Phone: 02 6282 5840

of Australia & New Zealand Director (Switchboard)
(JAS-ANZ) Policy & Development Fax: 02 6282 6818
P O Box 79
Deakin West E-mail: Admin@jas-anz.com.au
ACT 2600
Website:www.jas-anz.com.au
DEPT OF FAMILY & CONTACT NAME / TITLE CONTACT DETAILS

COMMUNITY SERVICES
FaCS State/Territory Offices QA Contact Phone: 08 8400 2107
South Australia 10th Floor
55 Currie Street Fax: 08 8400 2199
Adelaide SA 5000
Victoria QA Contact Phone: 03 8626 1147

Floor 3/Casselden Place
Melbourne Fax: 03 8626 1217
Victoria 3000
NSW QA Contact Phone: 02 8255 1007

Floor 6/1 Oxford St
Darlinghurst Fax: 02 8255 1040
NSW 2000
Tasmania QA Contact Phone: 03 6211 9315
Floor 3
21 Kirksway Place Fax: 03 6211 9399
Hobart Tas 7000
Queensland QA Contact Phone: 07 3005 6019
Floor 6
200 Adelaide Street Fax: 07 3005 6095
Brisbane Qld 4000
Western Australia
QA Contact Phone: 08 9229 1533
Floor 12
Fax: 08 9229 1597
Central Park
Perth WA 6000
Extract page
Attachment C
Useful Contacts
Northern Territory QA Contact Phone: 08 8920 8913

2nd Floor
Fax: 08 8920 8999
BOM Building
Darwin NT 0800
Canberra ACT QA Contact Phone: 02 6274 5140

Floor 4
Fax: 02 6274 5119
8-10 Hobart Place
Canberra ACT 2600
CONSUMER TRAINING CONTACT NAME / TITLE CONTACT DETAILS

& SUPPORT AGENCIES
Tasmania Julianne Moss Phone: 03 8344 8250
University of Melbourne
Email: j.moss@unimelb.edu.au
Level 4 Alice Hoy Bdg
Grattan Street
Parkville Vic 3010
Victoria Lorant Stary Phone: 03 9279 2451
Kangan Batman TAFE
Email: facsconsumertraining@
Private Bag 299
kangan.edu.au
Somerton Vic 3260
South Australia Sue Rose Phone: 08 8212 7771

HETA Incorporated
Fax: 08 8218 7781
47 Waymouth Street
Adelaide SA 5000 Email: heta@heta.com.au
New South Wales and Cath Starling Phone: 02 4923 7419

Australian Capital Territory Hunter Institute of Technology
Fax: 02 4923 7419
Locked Bag 45
Hunter Region mail Centre Email:
NSW 2310 catherine.starling@tafe.nsw.edu.au
Queensland Dianne Wallace Phone: 07 5499 9422

Directions Australia
Fax: 07 5499 9626
PO BOX 628
Maleny QLD 4552 Email:directda@bigpond.com.au
Extract page
Useful Contacts
Useful Contacts
Western Australia Leanda Syme Phone: 08 9385 6666

Scotswood Pty Ltd Fax: 08 9385 6612
(trading as E-Qual) Email:
PO BOX 595 equal@equal.iinet.net.au
Cottesloe WA 6011
Northern Territory Dianne Wallace Phone: 07 5499 9422

Directions Australia Fax: 07 5499 9626
PO BOX 628 Email:
Maleny QLD 4552 directda@bigpond.com
NATIONAL DISABILITY CONTACT NAME / TITLE CONTACT DETAILS

SERVICE ABUSE AND
NEGLECT HOTLINE
National Disability Service Hotline Free Call No:
Abuse and Neglect Hotline 1800 880 052
TTY: 1800 301 130
Extract page
CONTENTS
Extract page
Attachment D
Feedback
Feedback
The Department is committed to continuous improvement of the new quality strategy,

and looks forward to your feedback on the use of this Handbook.
Feedback can directly be provided to the QA contacts in your State/Territory Office of FaCS
(see Attachment C).
Alternatively, you can provide comments to:

Quality Assurance section
National Disability Services
Department of Family and Community Services
PO Box 9820
Brisbane Queensland 4001
E-mail: dcsb@facs.gov.au

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Box 7788 Canberra Mail Centre ACT 2610

UPDATE OF QUALITY ASSURANCE HANDBOOK

1 How to use this Handbook Minor

2. Overview of the Quality Assurance System Update on impact of revised legislation

4. Funding Arrangements Clarification about reimbursement of audit costs

5. Certification Assessment Procedures Minor

6. Step-by-Step Guide to the Clarification about timeframes during

7. Links to Continuous Improvement Minor

8. Links to Complaints and Referrals Mechanisms Update on Complaint Resolution and

9. Disability Services Standards and Key Minor changes as result of legislation

10. Evidence Guidelines As for (9), plus additional examples of evidence,

How to use this Handbook

1 How to use this Handbook

This Quality Assurance Handbook is for disability employment services funded by

The Quality Assurance Handbook has ten sections. They are:

How to use this Handbook

◗ Disability Services Standards and KPIs (Section 9)

Is your QA handbook up-to-date?

Check the FaCS QA website (www.facs.gov.au/qa) for the

The version number of each section of the handbook is

Overview of the new

2 Overview of the new quality assurance system

What you must know about the new QA system

2.1 Quality Strategy

The quality strategy for employment services is designed to:

The three-pronged quality strategy is designed to embed quality in all aspects of

Overview of the new

2.2 Quality Assurance System

Its key features are:

JAS-ANZ JAS-ANZ accredits certification

2.3 Legislative basis of the QA system

The Impact of the Quality Assurance legislation

Requirements for currently funded organisations

Requirements for newly funded organisations

New organisations seeking a grant will need to have either:

Overview of the new

Varying certification dates

◗ Key dates and milestones for achieving certification

2.4 The certification assessment

Want more details?

Section 5 outlines the formal procedures for certification

2.5 Role of people with a disability in the QA system

◗ The participation of consumers in preparing for certification assessments

Overview of the new

◗ Consumers involvement in the new QA system

2.6 Role of certification bodies and JAS-ANZ

How do I choose a certification body?

2.7 Role of the Australian Government

2.8 What criteria will we be assessed against?

Are you familiar with the revised Disability Serv-

To gain certification, funded services are required to demonstrate compliance with

Are you familiar with the evidence guidelines

2.9 What happens if we are found to be not fully compliant?

Overview of the new

What is a nonconformity and what are the

2.10 What are the checks and balances in the system?

◗ assist consumers to resolve concerns about a service, the delivery of services, or

JAS-ANZ Procedure 18 requires certification bodies to have effective complaints and

authority to overturn a certification decision, although it can question the

2.11 What if I already have a quality system?

Transition to the new QA system

3 Transition to the new QA system

3.1 Who does the new QA system apply to?