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Quality Frameworks for Homelessness and Related Services – Literature Review and Environmental Scan

5 Components of a national quality framework

5.1 Introduction

This section draws together the key aspects of research carried out to date and moves towards identifying the potential components of a national quality framework for Australia's homelessness service sector.

The material presented in this section is based on:

This chapter covers the following areas:

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5.2 Aims and objectives of an accreditation system

Consultations with representatives from sectoral peak bodies and from service provider organisations provided a range of views about the objectives, appropriateness and components of a potential national quality framework for the homelessness service sector (refer to Appendix B for a more complete summary of the topics discussed and the different views of stakeholders).

The interviews highlighted the concerns and frustrations of those currently working within the sector, particularly with regard to funding and workforce capacity issues, the lack of integration between services and between services and government, which is considered to be an obstacle for service quality improvement. There was a high level of consistency in the views expressed across the different stakeholder groups.

Overall, most stakeholders were supportive of the development of a national quality framework, including an accreditation system for homelessness services that would ensure professional services are provided to homeless people in a range of settings. There were significant concerns expressed by both service providers and peak organisations about the resource burden that the implementation of such a system may have on smaller services (discussed further below). In some cases, stakeholders were particularly concerned about how, for example, new accreditation processes at a national level would interact with existing standards and regulatory processes currently in place at a state and territory level.

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Stakeholders also identified a number of strategies to assist in the implementation of a quality framework which may alleviate the burden associated with introducing accreditation procedures and standards. These ideas are considered throughout this section and in Section 6: Implementation processes and impacts.

As the homelessness service system is vast, there are many competing considerations which will impact on the success of a new national quality framework. The aims and objectives of the system will need to be clear and comprehensible to a range of different stakeholders, each with a varying capacity to navigate a complex regulatory environment. A number of considerations will need to be addressed in implementing a new framework, including:

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The stakeholders and service providers who were consulted identified a number of objectives that a national quality framework should set out to achieve. They included:

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5.3 Potential components of a national quality framework

5.3.1 Human rights-based legislative framework

There are many different ways to encourage service improvement in the homelessness service sector. The type of framework deemed most appropriate for Australia will depend on the extent to which the government wishes to implement a service guarantee or an underpinning framework of human rights legislation.204

National Human Rights Consultation Committee, 2009, About the National Human Rights Consultation, Share your Views, www.humanrightsconsultation.gov.au/

Where international human rights conventions have been introduced into domestic law, as in the disability sector, this has acted as a powerful driver of national consistency in standards and practice.

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The Australian Government is currently investigating which rights and responsibilities matter to us as a society, whether these rights and responsibilities are adequately protected and promoted in contemporary Australia and how they might be better protected and promoted. The National Human Rights Consultation Committee, chaired by Father Frank Brennan, will report to government by September 30th 2009. Potential legislative recommendations from this review could substantially remake the landscape around developing service standards and add a judicial motivation to aligning practice with human rights obligations.

Many of the leading practice approaches to homelessness service provision are underpinned by a legislative framework (e.g. Scotland: see Section 2.14.1 of the Legislative and regulatory context section of this document). A legislative framework can guarantee minimum rights in law, such as entry into the service pathway via assessment and the provision of temporary accommodation until a longer term response can be developed. This approach is consistent with the human rights approach embodied in the Universal Declaration of Human rights and the International Covenant on Civil and Political Rights (ICCPR) and the International Covenant on Economic, Social and Cultural Rights (ICESCR).

One of the reasons why a legislative framework is perceived to be one of the strongest social policy responses to homelessness is that it provides a process for recourse in the law to enforce the rights embodied in legislation. While the types of remedies available will vary depending on the specific legislation developed, there are advocacy groups and homeless legal centres that can leverage the rights contained in the legislation to access accommodation for homeless people by bringing an action in the courts. This may be by way of administrative review and/or other legal actions.

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A key component of many legislative frameworks is the establishment of an independent body to oversee complaints and grievances, to reduce the burden on the court system and to streamline the process of enforcing the intention of the legislation, particularly for disadvantaged and marginalised groups. Some of the different types of independent review/complaints mechanisms are discussed further below.

One advantage of developing a legislative system is that it provides a clear incentive for services to comply, as the alternative is to operate illegally. As experience from the other areas of regulatory reform has shown (such as the introduction of the Goods and Services Tax through the Goods and Services Tax Act 1999), the need to support services in the process of becoming accredited (financially and through education) is critical to ensuring the success of such a system.

There are limitations in the Australian Constitution which restrict the capacity of the Australian Government to legislate directly in relation to homelessness services (as they relate to housing). These limitations are discussed elsewhere in this document at Section 2. The key issue for the Australian Government is to achieve the cooperation of the states and territories, either in committing to national standards and legislation or in developing their own state-based legislation based on nationally agreed principles. The role of stakeholder engagement is discussed further below.

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Features of a legislative framework

There are a number of different features to be considered in developing a legislative framework:

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A number of consulted stakeholders and service providers indicated their support for a 'rights-based' legislative framework for service delivery. Some expressed their support for the Supported Accommodation Assistance Program (SAAP) legislation in that it represents an human rights-based approach, the basic principle of SAAP being that if you are homeless you are deserving of shelter. The Bill of Rights enacted in Victoria was considered by some to be a good model for a national legislative framework.

'There are practical and symbolic implications to enacting homelessness legislation. Having legislation brings a valuing and appreciation and structural importance to the task of responding to homelessness. And in addition to the legislation, you need a mechanism to activate it and not let it be a dusty relic.' (Sectoral stakeholder)

One challenge raised by stakeholders of enacting legislation was the difficulty of defining 'homelessness services' and identifying which organisations would fall within the legislative system.

'How will we define homeless services? Currently this would be the specialist services - potentially residualising the homelessness response to the large crisis model. We need to keep a broad and encompassing definition to allow innovation and inclusion of new forms of response.' (Sectoral stakeholder)

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A number of stakeholders suggested that a national quality framework would best be implemented by way of a national legislative framework administered by the states and territories. This framework would enable the tailoring of service standards in recognition of the issues which are unique to particular geographies. The need for the framework to be sufficiently flexible and responsive to different localities was seen as crucial.

'Government has responsibilities in terms of setting the expectations and then embedding that in a legislative framework and then the states and territories will work in partnership with providers to administer the framework and establish improvement plans.' (Service Provider)

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5.3.2 Continuous quality improvement framework

Regardless of the type of national quality framework developed (whether it is mandated through legislation, voluntary or linked to funding), most leading practice regulatory models will involve some type of continuous quality improvement framework.

Victoria, Tasmania and Queensland have developed a system based on continuous quality improvement, although neither the Tasmanian nor the Victorian model is legislatively based. Legislation is often an appropriate way to ensure minimum standards and protections are in place. A separate accreditation scheme linked to funding and based on a continuous quality improvement framework may be an appropriate way to establish incentives to aspire to improved service practices.

Continuous quality improvement aims to provide more than simply basic protections; it puts in place a process for review and for improvement. Both the Victorian model and the Tasmanian models involve self-assessment according to predetermined standards and then review by an external third party monitor in order to gain full accreditation.

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The Victorian model provides valuable insights in relation to how a national quality framework may cover a wide range of issues, including consumer rights, access to services, assessment, referral, exit planning, data recording and building partnerships across different sectors.

An important feature of effective quality framework is the ease with which it may be understood and implemented by the organisations which will need to comply.. Rationalising the number of standards with which services will need to comply may assist this process. For example, the accreditation process could aim to guide services through the process of complying with other key pieces of legislation, such as anti-discrimination legislation, disability legislation, and health service legislation. Alternatively, it could provide advice and direction about where to go to find out about additional standards required under the law, even if they do not fall within the homelessness service accreditation process.

An auditing and evaluation function is a potential component of a continuous quality improvement framework. Auditing is performed to assess the reliability and performance of organisations in terms of their internal control. It is usually carried out on a statistical sample of services and provides an incentive for compliance.

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All stakeholders in homelessness policy and services have a part to play in the process, and roles need to be clearly and explicitly defined. The roles inherent in funding, legislative frameworks, standards development, audit and compliance, grievance and disputes, and service improvement need to be linked in a transparent and comprehensive framework. Roles are sustainable on an ongoing basis when they are appropriately tasked, with adequate funding and with authority to exercise their responsibilities.

A number of consulted stakeholders supported a continuous rolling program of service quality improvement, backed by supportive mechanisms including incentives. This approach was considered to be an effective means of driving organisational change from within, with a focus on improving processes and workforce capacity.

Some stakeholders also commented on the importance of client feedback as an integral element of the continuous service quality improvement model.

'I support a quality improvement cycle: reviewing and evaluating in a fair, frank and fearless way from a consumer's perspective and then addressing whatever issues arise out of consultation.' (Service provider)

'The value to us [a service operating under the Victorian framework] is that we put in place a management cycle to look at what we are doing and how we can improve. We prefer this quality improvement framework rather than the quality assurance audit approach. This process also has an audit component but it's not just tick a box.' (Service provider)

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5.3.3 Minimum standards and a tiered framework of standards

Some accreditation schemes implemented as part of a quality framework have sought to respond to varying levels of resources available to different services, recognising that smaller operators may have different objectives to larger services working towards holistic service delivery and towards best practice. This may be achieved through tiered frameworks of standards and through offering provisional licences.

In Queensland for example, the maximum time period for accreditation of supported residential accommodation is three years. If a service does not meet all of the requirements then a further, shorter period may be granted subject to certain conditions.

In the community housing sector, the tiered design of registration standards supports the diversity of providers in the sector nationally and could apply well to the diversity of types and sizes of agencies providing homeless services.

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The tiered approach in community housing is multi-factorial - where an organisation's registration status identifies the scope of operations (A, B, C) and the level of attainment against the standards (1, 2, 3). So a registration status, e.g. B2 or C1 etc., communicates detailed information about an organisation's capacity and is sensitive to progress with quality improvement strategies.

Similarly in the child care service sector, there have been moves towards developing a regulatory framework based on a three-tiered system of accreditation. Services are accredited according to whether they are 'provisional,' 'operating effectively' or a 'centre of excellence'. A 'provisional' service would receive active assistance and support to address aspects of its operations that required improvement.

While there was reluctance among stakeholders to introduce such a system into the child care sector (because of the anxiety it may cause parents who place their children in provisional centres), these concerns may not have the same level of application in the homeless service sector.205

If registration is to apply beyond funded services, extension to micro services and to private sector providers will require high levels of voluntary compliance by these stakeholders. This would be maximised by:

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The majority of consulted stakeholders supported the introduction of minimum standards. Aspects of service provision including accommodation quality, staffing training, qualification and level of supervision were singled out to be addressed by the standards. Linkages between services and processes for referring people to appropriate services were also prioritised by the consultations.

Stakeholders identified a need for minimum standards to include an assessment process. One stakeholder was concerned about the need to build into the standards an assessment process for all people who come into contact with homelessness services, so that appropriate decisions could be made about the level of client need. As this stakeholder argued, 'not all people who become homeless have high and complex needs' and there is a risk of pathologising everyone who is homeless.

A number of stakeholders pointed out the importance of ensuring the system is not administered on the basis of the 'lowest common denominator' but rather that standards are inspirational and encourage organisations to strive for service quality improvement. The provision of incentives for the attainment of high standards was seen to be integral to this approach.

'People want to know what 'really good' looks like as well as what 'getting over the line' looks like. ' (Sectoral stakeholder)

'Instead of looking for lowest common denominator we need to look for the highest. It is not good enough that we look at criteria for quality assurance and consider how we can just do the minimum to meet that. We should aim for the highest or the best. And there needs to be some sort of encouragement for the attainment of higher status. Incentives might be funding, or they might be recognition, for example awards with a small monetary incentive or conference attendance for staff attached. It is about providing a reward to the service and the people in the service.' (Sectoral stakeholder)

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A number of stakeholders commented on the benefits of introducing minimum standards within the sector as a means of improving perceptions of the sector's workforce and of service provision models and confidence in the sector from external parties, including government.

'Introducing some objective standard whereby organisations can measure themselves can give the sector greater confidence and a greater ability to attract corporate and philanthropic funding, for example. It also enables the sector to attract higher calibre people, both as employees and board members. So for organisations to be able to say 'we are doing well by some objective standard' is a good thing.' (Sectoral stakeholder)

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5.3.4 Registration processes

At minimum, the accreditation process can provide a register of homelessness support services, their location and the types of support offered by each. The register would be a potential source of data collection for research and for service planning. As such, it would require regular maintenance to ensure accuracy and validity of information.

The development of a national framework for accreditation and data collection was supported by a number of stakeholders, in that centralised data collection would allow for comparisons to be made across regions and across client groups. The limitations of the data collection mechanisms implemented through the Supported Accommodation Assistance Program (SAAP) framework were highlighted:

'SAAP achieved some consistency through the national data collection framework. But data collection [under SAAP] was limited to the service types that were on the ground. So there was a whole lot of invisible stuff going on that was not recorded or reported.' (Service provider)

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5.3.5 Charters of rights

The White Paper on homelessness proposes the introduction of national service charters for mainstream services, and accreditation for funded specialist homelessness services, to improve service provision within the sector by maintaining high quality service delivery and by encouraging consistency and best practice service delivery. The ability for services to recruit and retain a 'highly trained, multi-skilled and well educated workforce' is one of the key tenets of this approach.206

Some stakeholders thought that it may be appropriate to include a homelessness charter of rights either in the legislation or in national principles in order to inform the development of specific state and territory frameworks. A charter has been developed in the ACT, which is a statement of principles and rights that services and government agencies seek to uphold.

The charter developed in the ACT is not enforceable in law; it is a statement of principles. It is accompanied by a service guarantee which communicates the practical effects of standards to stakeholders - what they can expect from each service and the dispute resolution processes available to them.

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5.3.6 Review and complaints mechanisms

A national quality framework would include of a process for service quality review and for receiving of complaints and grievances. In terms of compliance with standards, this issue was raised by a number of stakeholders in relation to the question of what is driving compliance. The importance of providing drivers other than funding was highlighted in terms of the effectiveness of service quality improvement.

A voluntary compliance system was considered to have significant benefits and to potentially be more appropriate than a system of compulsory compliance. The drivers put in place in the sector to encourage compliance would include marketing and fundraising benefits. Making resources available to support smaller organisations in seeking compliance was highlighted as important in the application of such a system.

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There are many ways in which a compliance function can be implemented. Some of the options are:

If a process for independent review and complaints is established then it will need to address a number of potential issues. While some of the issues will relate to the standards of certain services and to the appropriateness of the way they work with clients, issues about access to services will also arise.

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5.4 Conclusions and issues for further consideration

This section has set out some of the potential components of a national quality framework within the homelessness services sector, including:

The discussion of the potential components of a national system has considered the issues raised by sectoral stakeholders and service providers who were consulted as part of this research, and is reflective of their views.

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The risks and benefits of the various regulatory and accreditation models are considered in the context of the current structure of the homelessness service provision sector and the challenges of developing a framework which is appropriate to the range of organisations operating within it.

The consultation revealed broad agreement among stakeholders on the most appropriate components of a system. The establishment of a regulatory rights-based framework was supported by many as a basis for the introduction of a national system which would support the objectives contained in the White Paper on homelessness for ensuring a client-centred approach to service quality improvement.

Stakeholders' experiences of existing accreditation systems which are currently operating in some states, particularly Victoria, have provided some useful insights into what aspects have worked well and what components might be suited to a national framework. The implementation of a continuous service quality improvement model, similar to the system which has been implemented in Victoria, was supported by a number of stakeholders. Particular aspects of this model, including self-assessment and peer review processes, were highlighted by organisations as beneficial for service quality improvement and workforce capacity development. Such a system was considered preferable to what was perceived as a 'tick-a-box' approach represented by a quality rating system.

The majority of consulted stakeholders considered the implementation of minimum standards for services to be an essential aspect of a national framework, however a number also stressed the importance of standards being inspirational rather than based on the 'lowest common denominator'.

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Other potential components of a national quality framework, including a charter of principles and rights, were supported by some stakeholders, although views varied in relation to whether these principles should be enshrined in legislation.

Audit and review processes were considered by stakeholders to be important components of a system, however views on the form this should take were varied, with many supporting self-assessment and peer review processes alongside external audit mechanisms.

The challenges of implementing a national framework are explored in the following section, particularly with regard to the processes of implementation - including timing and resourcing - and the importance of risk-mitigation strategies to deal with issues which might arise during this process.

  1. Ibid., p.viii
  2. Details of the decision can be found at: http://www.ja.com.au/CSIR_home/article.aspx?id=13673. The Qld Government has committed to funded part of the increase: http://www.communityservices.qld.gov.au/about/budget/2009-10/documents/bh-new-funds-fact-sheet.pdf
  3. National Human Rights Consultation Committee, 2009, About the National Human Rights Consultation, Share your Views, www.humanrightsconsultation.gov.au/
  4. Australian Government Department of Education, Employment and Workplace Relations, A National Quality Framework for Early Childhood Education and Care, First wave of public consultations on reform proposals, August and September 2008 – Summary of outcomes, viewed at www.deewr.gov.au/EarlyChildhood/OfficeOfEarlyChildhood/EarlyChildhoodEducation/Documents/Summary%20of%20consultation%20outcomes%20(revised).rtf
  5. Australian Government, 2008, White Paper - The Road Home: A National Approach to Reducing Homelessness, p. 43

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