Human Services Quality Framework Standard 2 (Service access)
GUIDETOSERVICEREQUESTSANDREFERRALSPOLICYTEMPLATE
ABOUT THIS POLICYAREA
This policy guides howthe organisationencourages andmanages requestsfor service from potential clients and referrals to and from other agencies.
A written service request and referrals policy will assist in meeting the requirements of Standard 2 (Service access), Indicator 1, 2 and 3.
Standard1 — service access
Sound eligibility, entry and exit processes facilitate access to services on the basis of
relative need and available resources.
Indicator 1: Where the organisation has responsibility for eligibility, entry and exit processes, these are consistently applied based on relative need, available resources and
the purpose of the service.
Indicator 2: The organisation has processes to communicate, interact effectively and respond to the individual’s decision to access and/or exit services.
Indicator 3: Where an organisation is unable to provide services to a person,due to ineligibility or lack of capacity, there are processes in place to refer the person to an appropriate alternative service.
Policy checklist
The following checklist will help youcheck thatan existing policycovers this area adequately.
The policy should:
describe how requestsfor services are recorded and handled
describe the applicationof non-discriminatory eligibilitycriteria
describe howineligibleor excluded clients are assisted to appeal thedecision
describe howineligibleor excluded clients are assisted togain accessto other moreappropriate services
describe how you ensure successful referral processes
describe how youkeeprecords of referralsand of the involvement of other agencies
withyour clients
explainhow you maintainand reviewrelationships and referral arrangementswith
other agencies, and keep their contact details up to date
contain clear procedures andactions
indicate the timing of any actions
show whenit was approved
show whenit was last reviewed.
COMPLETING YOUR REQUESTS FOR SERVICE AND REFERRALSPOLICY
Using thepolicy template
The template provides some example statements.You canadapt these statements and include them inyour policy or write your ownstatementsto better suitthe operations and services ofyour organisation.
The policytemplates include red text prompts to insert informationthat is specific to your organisation.
There are also instruction sections, in blue italics, such as:
Refer to the induction of governing body policy template guide for questions and/or examples to consider when customising this section.
Whenyou have completed the policy template,delete all the coloured text.For further
information onusing the policy guides,refer to the informationin Using the policy templates andguides.
Guidelinesforeach sectionofyourpolicy
1. Purpose
Whenidentifying the purpose ofthis policy,consider how itmightapplytoyour client group/s andother agencies youwork with.Doyouneed tomake specific statementsto ensure you are inclusive ofparticular groups, such as Aboriginal and Torres StraitIslander peoples,AustralianSouthSea Islanders,people from culturally and linguistically diverse backgrounds andpeoplewith adisability?
2. Scope
To determine the scopeof the policy, consider the following questions:
•Does this policy apply to all your organisation’s services, and toall clients and agencies?
•Which staffwill be involved inresponding toservice requests and referrals?
3. Policy statement
Ifyou are adopting this policystatementin thetemplate, consider whether there are any additional commitments thatyourorganisation wants to make.
In identifying theactions yourorganisation willtake to implementthis policy,you should include thefollowing:
•howyou receive, record and assessrequests for services and referrals
•howyou make successful and appropriate referrals
•the range ofagencieswith whichyou will maintainlinks to assist your target group
•how you will establishand maintain comprehensive and effective referral networks with these agencies.
4. Procedures
The procedures describe how yourorganisationachieves the aimsand goals youhave outlined inyour purpose,scope and policystatement.
4.1 Management of requestsfor aservice
Explain how you receive requests for a service andhowyou record and assessthese requests.
Requestsfor a service by a potential client may be:
•inperson
•by phone
•onyour applicationform
•referralby letter, fax or internet based system (such as Supportlink) fromanother agency
•initiated by your service approaching them(outreach)
•an existingclient seeking adifferent service, or returning at a later date for further support.
The features of your entry/eligibility processthat ensure it is inclusive and consistent may include:
•making sure each person hasa clear understanding about theservicesavailable and the eligibilitycriteria (informationavailable incommunitylanguages,explained verballyetc.)
•theuse of advocates, support services and interpreters asrequired
•consistency andtransparency in decision making
•acceptanceof new clients referredby certain agencies
•written decisions
•the right toappeal.
The process followed to record a requestand assess eligibility for a service may include:
•different processes forformer, existing or new clients
•a standardapplication or referral form
•standardforms andformats to record therequest, theassessment and the decision
•manual or computerised client records
•an assessment processfollowed over a set timeframe
•a formal interviewprocess or a decisionmade oninitialinformation
•informing the client of the outcome in person, byphoneor by letter
•putting the decisioninwriting,the reasons forthe decision andtheprocess for aclient to appeal an adverse decision
•seeking managementapproval for exceptions made to the normal eligibilitycriteria in exceptional circumstances.
Statistical records of requestsfor service, usedto assesshow well you reach yourintended target group may include:
•age
•gender
•geographic location
•cultural/ethnic/language group
•service requested and/or presenting issue
•source of referral
•whether eligible for service or not
•other services clients are referred to.
4.2 Makingreferrals
Explain how and in whatcircumstances you make referrals toother agencies,including any specific processes youfollow when referring anexcluded or ineligibleclient.
Processes you follow toensureyou makean appropriate and successful referral may include:
•maintaining confidentialityand privacyat all times, and gaining clients’ written consent to refer, share personal information
•putting things in writing to the client or other agency whenappropriate
•keeping records of contact withthe client and the other agency
•maintaining anaccurate and complete contact and referral database inyour agency and/orusing reputableexternal sources ofinformation(e.g.Internet,information services, council etc.)
•clarifying with the client your understanding of theneed they have expressed
•providing full and honest referral informationto the other agency
•giving clients an accurate pictureof the other agency and its service
•making a first contact with theagency onbehalf of,or with, clients who are self- referring
•following up with the client about the appropriateness and suitability ofthe referral
•following up with theother agencyaboutthe appropriateness and suitability ofthe referral
•reviewing the successand appropriateness ofongoing relationships between your clients and other agencies
•having specific guidelines whenreferring excluded or ineligible clients,ifappropriate.
4.3 Establishing andmaintaining effective referral networks
Explain how you ensure thatyour referral networks are effective, andhowyou establish and maintain successfulworking relationships with other agencies your clients may use.
Effective referral networks will be:
•providing services relevant toyour targetclientgroup
•supported by up-to-date informationand goodinteragency relationships
•easy for your clients toaccess.
Successfulworking relationshipswith other agencies can be maintained ina variety of ways:
•open andhonest communication
•accurate referrals
•following up onconversations with anemail orletter to confirm verbal information
•writtenagencyagreements clearlyoutlining the roles and responsibilities inthe relationship
•regular review ofthe relationship and any agency agreement
•regular phone and face-to-facecontact betweenworkers at the individual worker level and through case conferences and interagency networks
•contact and cooperation at senior/managerial levels.
5. Other related policies and documents
Listthe other policies related to the service requests and access policy.This may include:
•access policy
•eligibility policy
•collaborationinservicedelivery policy
•ending service delivery policy.
Also list theforms andother organisational documents related to your service requests and referrals policy.
6. Review processes
Consider howoften thepolicy should bereviewed andtheprocess fordoing this:
•frequencyof review:Most policies benefitfrom an annual review. The experience of implementing the policy is used todecide which changesare necessary.Consider
reviewing your service requests and referrals policy as part of anannual review of your organisation’s policies or,ifyourorganisation is small, perhaps overa three-year period. Criticalincidents may promptyou to reviewthe policyahead ofschedule.
•responsibility for the review:In most organisations,the person accountable for service requests and referrals would be responsible for reviewing this policy.In small organisations,this may be the manager or service coordinator. Inlarger organisations, this may be a clientservice manager.
•process for the review:Decide which particular staff,volunteers,external people and organisations (such as referral networks)will provide input tothe policyreviewandwhether clientswill be involved.
•decision-makingprocess:Who will reviewdraft changes to the policy,and who will approve changes? What will be the timeframe for the reviewprocess?
•documentation andcommunication:What records ofthe policy review process are needed? Howwill changes tothe policy be communicated to staff implementing the policy? Ina small organisation,this may be as simple as notingthechanges at astaff meeting. In a larger organisation,an email memo may be needed.
•keyquestionsfor thereview:Isthepolicy being implemented? Are procedures being followed? Is thepolicy clear? What has changed thatmayprompt a change tothe
policy? Have particular stakeholders had difficulty with any aspect ofthe policy? Can
their concerns be resolved? How does the policycomparewiththat of similar organisations?