PREVENTION

Actions taken to minimise and/or eliminate social, psychological, or other conditions. Prevention can occur at the individual, group, community, and societal levels and enhances opportunities to achieve positive fulfilment.		  
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  MANAGEMENT

See ADMINISTRATION		  
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  PRACTICE

Established actions or ways of proceeding in the regular performance of organisational duties. Policies and procedures often guide practice.		  
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  LIABILITY

An obligation, responsibility, or debt. 		 
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  CONTRACT

A formal written agreement between two or more parties that specifies the services, space, or products to be provided in exchange for some form of compensation. Also known as “purchase of service arrangement.”		  
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  SERVICE

One or more organisation-operated programmes or activities that have a common general objective and deploy the organisation’s material and human resources in a planned and systematic manner. An organisation that publicly promotes or identifies itself in writing as offering a service, is licenced to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.		  
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  CONSULTANT

A person who provides specialised or technical advice or services to an organisation for specific purposes on a contractual or fee basis, or who provides such services as a volunteer with an agreement to provide services on a pro
bono basis.		  
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  INDEPENDENT CONTRACTOR

An independently employed individual who contracts with an organisation to do a piece of work according to his/her own methods and is subject to an employer’s control only as to end product or final result of the work, not as to the means whereby it is to be accomplished.		  
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  DUE DILIGENCE

Performance of a process or review with the measure of prudence, activity, or assiduity properly expected from and ordinarily exercised by a reasonable person under particular circumstances. Due diligence is not measured by any absolute standard, but depends on the relative facts of a special case or situation.		  
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  MONITORING

An evaluation involving a periodic review of consumer services, organisational activities, or conduct. Specifically, monitoring is an activity of case coordination, whereas more broadly, monitoring is an evaluation technique used in overall quality assurance. 		 
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  PERFORMANCE

A measure of how well an organisational system provides services to consumers. Performance is often based on key indicators, such as rates of service, cost per consumer, degree of satisfaction with services, and extent of consumer access to services.		  
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  ELIGIBILITY

The degree to which an individual, family, group, or community meets the specific criteria and qualifications required to receive goods, benefits, or services.		  
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  CRITERIA

Systematically developed, objective, and quantifiable statements used to assess the appropriateness of specific decisions, services, and outcomes.		  
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  TRAINING

Instruction so as to make fit, qualified, or proficient in a skill or body of knowledge.		  
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  PROCEDURES

Written instructions that outline the steps for performing a task(s) or operationalising an administrative or service delivery process. A procedure can be written as a step-by-step set of instructions or as a narrative description of a process. A procedure tells someone how to do something not just what to do.

Unlike policies, procedures do not need to be approved or reviewed by the governing body, and need not be associated with a specific policy. For example, whereas a broad anti-discrimination policy requires grievance or other procedures in order to be operationalised within an organisation, assessment procedures do not require a governing body approved assessment policy.

Note: Procedures are sometimes referred to as administrative policies.

  
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  TERMINATION

See CASE CLOSING		  
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  POLICY

A written statement of principles, values, or intent that provides a basis for consistent decision making and guides the actions of staff, management, and board of trustees. A policy is intentionally broad in its language and application. The following is an example of an anti-discrimination policy:

"[Organisation Name] shall not discriminate on the basis of race, color, religion (creed), gender, age, national origin (ancestry), disability, marital status, sexual orientation, or military status, in any of its activities or operations. These activities include, but are not limited to, hiring and firing of staff, selection of volunteers, selection of vendors, and provision of services."

In contrast, a procedure is a detailed, step-by-step description of a process. It tells the reader how to do something. Generally, policies are implemented through procedures. For example, the above anti-discrimination policy would require a detailed grievance procedure in order to operationalise it within an organisation.

The governing body has the fiduciary responsibility for setting organisational policy. Therefore, policies must be approved and periodically reviewed by the organisation's governing body. However, the governing body typically delegates (via policy) the responsibility for policy development to management. In owner-operated for-profit companies, the owner can act as the company's governing body, depending on the company's corporate structure.

In a public agency the responsibility for setting and reviewing policies may belong to the agency's management team, elected officials, another governmental agency, or as is often the case, a combination of the above.

  
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  OBJECTIVE

A sub-goal stated in operational terms, i.e., a statement that makes clear what expected results are to be measured or assessed.		  
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  CONFIDENTIALITY

An ethical and practice principle that requires the protection of information shared within a professional-client relationship. An organisation that upholds confidentiality prohibits personnel from disclosing information about persons served without their written consent.		  
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  CASE

A general term used to designate clients (including individuals, families, and groups) served by an organisation for purposes of monitoring the provision of services. A foster care case is generally based on the placement of an individual child, although casework for the child may include services to the child’s family. A child protective services case is based on an entire family household if a family assessment model is used; otherwise a case is defined as a child.		  
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  HOST ORGANISATION

The larger corporate framework that maintains an internal EAP.		  
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Risk Prevention and Management
  
Private Org  

CA-RPM 9: Contracts and Service Agreements*

 
The organisation enters into contracts and service agreements with due regard for practices that promote efficient use of resources.
related CA-PQI 2.01
Interpretation: CA-RPM 9 is not applicable to contracts with individual consultants and independent contractors, which are addressed in CA-HR.
Note: Please see Tip Sheet: CA-Contracting in the Tools Index for additional assistance with this standard.

CA-RPM 9.01

 

The pursuit of contracts for services is consistent with the organisation's mission and purpose, and the organisation:

  1. establishes a system of standardised contracting practices;
  2. conducts due diligence in contracting activities, including review of possible risks; and
  3. assigns a qualified individual to oversee contracts.
Interpretation: The organisation assigns each contract to a specific qualified individual who is charged with monitoring the progress and outcomes of each service contract.

CA-RPM 9.02

 
Written contracts contain all significant terms and conditions in accordance with applicable law.
related CA-RPM 1,  CA-RPM 2.01,  CA-RPM 10

Interpretation: “Significant terms” include, as appropriate to the type of contract:

  1. roles and responsibilities of participating organisations;
  2. services to be provided;
  3. clearly defined performance goals;
  4. measurable outcomes;
  5. service authorization, including eligibility criteria;
  6. provisions for training and technical support, as necessary;
  7. duration of contract, including delineation of follow-up services;
  8. policies and procedures for sharing information;
  9. methods for resolving disputes;
  10. a plan and procedure for timely payment, and consequences for failure to pay;
  11. documentation necessary for, and means of reporting to, funding or oversight bodies; and
  12. conditions for termination of the contract.

CA-RPM 9.03

 
All contracts are reviewed by legal counsel or another qualified individual prior to signing.
Interpretation: Depending on the organisation's resources and policy, the organisation's CEO or a member of the Board or management team may be qualified to review contracts. The review should ensure that the contract is both legal and the terms of the contract are clearly understood and agreed upon by both parties.

CA-RPM 9.04

 

Non-contractual service agreements include, as appropriate:

  1. services exchanged or provided, and/or the goals and objectives of such collaborations;
  2. roles and responsibilities of each organisation, including reporting responsibilities;
  3. procedures for sharing information;
  4. confidentiality protections including signed written consent forms;
  5. assignment of case coordination responsibilities;
  6. service authorization procedures, including accepting or rejecting cases; and
  7. how to resolve communication difficulties.
related CA-RPM 2.01
Interpretation: This standard applies to non-contractual arrangements, also known as Memorandums of Understanding (MOUs), in which organisations collaborate with providers to deliver specific services to a person or persons. For example, a service in which a provider voluntarily comes into the host organisation’s facility to provide weekly smoking cessation classes.
NA The organisation does not enter into non-contractual service agreements.

CA-RPM 9.05

 
When an organisation enters into a service agreement with a provider that operates adventure-based activities with a significant degree of risk; the organisation requests proof that the provider is accredited, licensed, or certified bya nationally recognized authority for the activity being conducted.
Interpretation: Adventure-based activities with a significant degree of risk can include, white water rafting, climbing walls, or ropes courses.
NA The organisation does not enter into service agreements with providers that operate adventure-based activities.
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PURPOSE: Comprehensive, systematic, and effective risk prevention and management practices reduce the organisation’s risk, loss, and liability exposure.
 
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