UnitingCare Victoria and Tasmania

Unit and Agency Protocols

April 2012

ContentsUnitingCare Victoria and Tasmania..........................................................................................................................1Unit and Agency Protocols.......................................................................................................................................11. Statement of Purpose.....................................................................................................................................32. Legal Status....................................................................................................................................................33. Synod and Legislative Requirements..............................................................................................................44. Board and Associated Council of the Church Relationship.............................................................................65. Property Obligations........................................................................................................................................66. Financial Obligations.......................................................................................................................................97. Communication Channels.............................................................................................................................138. Interacting with the Media.............................................................................................................................139. Service Delivery and Standards....................................................................................................................1410. Industrial Relations/ Human Resource Management Practices....................................................................1511. Manage Risk and External Compliance Requirements.................................................................................1512. Grievance Procedures..................................................................................................................................16

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1. Statement of PurposeUnitingCare Victoria and Tasmania is integral to the ministry of the church, sharing in the vision and mission of God – seeking to address injustice, working together to overcome disadvantage and to strengthen communities.

2. Legal StatusThe Uniting Church in Australia Property Trust (Victoria) as constituted under the Uniting Church in Australia Act 1977 No. 9021 and the Uniting Church in Australia Property Trust (Tas.) as constituted under the Uniting Church in Australia Act 1977 No.38 are the legal entities responsible for the majority of UnitingCare agencies (institutions of the Church) in Victoria and Tasmania. Only two agencies (Wesley Mission Victoria and Murrenda) are independently incorporated entities. The Instrument of Delegation, ratified by the Commission for Mission (CFM) Board, ensures the other agencies have the appropriate authority to exercise powers and carry out particular actions.

INSTITUTIONS1

3.5.34 (a) For the purposes of this and the succeeding Regulation, unless the context or subject matter otherwise indicates:

(i) institution means any body whether incorporated or unincorporated established by or on behalf of the Church or any of the uniting churches or in which the Church participates for a religious, educational, charitable, commercial or other purpose;(ii) person includes a church, a body corporate and an unincorporated body;(iii) the Church includes any body of the Church;(iv) Synod includes the Standing Committee thereof.

(b) Subject to any directions by the Assembly on matters of policy, the Synod, paying due regard to the responsibilities of any other body:

(i) shall determine what institutions shall be continued, established, conducted or discontinued by or on behalf of the Church;(ii) may authorise the establishment or continuation of any institution by the Church conjointly with another person, or require the withdrawal of the Church from any institution which has been or may hereafter be established by the Church conjointly with another person;(iii) may approve or authorise the participation of the Church in, or the association of the Church with, any institution, or may terminate or cause to be terminated any such participation or association;(iv) may authorise affiliation of the Church with, or membership of the Church in, such bodies (being bodies conducting or connected or associated with an institution or with which an institution is associated) as shall seem appropriate to the Synod, and may terminate or cause to be terminated any such affiliation or membership;(v) may make any such determination, authorisation, approval, termination or requirement subject to conditions and from time to time vary such conditions.

(e) In respect of institutions established or conducted by or on behalf of the Church and the Church’s participation in or association with other institutions and its membership of or affiliation with bodies pursuant to paragraph (b)(iv) the Synod may

(i) oversee and from time to time review the same;(ii) appoint an official visitor thereto for the purpose of exercising oversight;(iii) intervene in such manner as it is able and as it considers necessary or proper in the interests of the Church.

(f) Subject to any by-laws and any conditions applicable pursuant to paragraph (b)(v), an institution which is established or conducted by or on behalf of the Church or the council or other authority administering the institution:

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(i) shall be responsible and accountable for its proper management to the Synod or such body as it designates;(ii) may exercise all the powers and functions delegated to it by the Synod or such body as it designates; and(iii) shall report and present audited financial statements to the Synod or such body as it designates at least annually and at other times as the Synod requires.

3.5.35 In relation to an institution, and to the extent to which the Church is concerned:(a) The constitution or other instrument whereby an institution is established, continued or conducted by or on behalf of the Church shall:

(i) define the name, purpose and management procedures of the institution;(ii) provide for effective representation of the Synod, the Presbytery, the Church Council or other body as the case may be on the managing or controlling authority of the institution;(iii) provide for the furnishing of regular reports and financial statements to the Synod or such body as it designates.

(b) (i) The Synod shall be responsible for granting or approving the constitution or other instrument whereby the institution is established, conducted or continued and shall have authority to amend, revoke or suspend the operation of such constitution or instrument, notwithstanding any provisions within the constitution or other instrument.(ii) No alteration of such constitution or other instrument shall be operative unless and until it is approved by the Synod.

3. Synod and Legislative RequirementsUnitingCare Victoria and Tasmania (UCVT) agencies are constituted under the Uniting Church in Australia Regulations, and are bound by the conditions contained in the Regulations and the agencies’ approved Constitution (based on the Model Constitution) and the UCVT’s Statement of Purpose. Each agency shall have a Board of Governance, and a Council of the Church associated with the agency. All Board members must be aware that an agency also has of a wide range of legislative requirements. Included in the wider scope of relevant legislation are laws relating to trading, employment, work health and safety, equal opportunity, privacy etc. All Boards must:

make every reasonable attempt to ensure they comply with the UCA Regulations, the agency’s Constitution or By-Laws and decisions of the Assembly and Synod;

bring to the notice of the UCVT Unit Director or CFM Executive Director any occasion when there has been, or is likely to be, a significant violation of UCVT’s values, any action that could threaten the agency’s viability or UnitingCare’s good name in the community and seek guidance on mitigating this;

seek written permission (email is acceptable), through the UCVT Unit Director, prior to commencing any legal action (see excerpt from Regulations on Legal Actions and Arbitrations below);

develop and implement governance policies outlining the Board’s role, duties and general responsibilities;

ensure Board members undertake appropriate governance training; develop and implement a code of governance ethics that provides a framework for all

Board actions and behaviours; ensure that all Board members are familiar with the commonly accepted duties and

responsibilities of directorship (as defined in The Corporations Law) http://www.asic.gov.au/asic/asic.nsf/byheadline/Your+company+and+the+law?openDocument);

provide a formal induction/orientation program for all new Board members including the relationship with Uniting Church in Australia (UCA), Synod of Victoria and Tasmania, and the legal and administrative requirements of the role;

ensure that all Board members understand the limits of their personal liability as defined in the UCA Constitution and Regulations – 4.12.1 (a) and (b).

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INDEMNITY2

4.12.1 (a) Any person acting under the express or implied authority of the Church and who is not an independent contractor shall be indemnified out of trust property against all liability for any matter or thing done or liability incurred except in the case of fraud, criminal act, gross negligence or willful misconduct.

(b) Without detracting from the generality of paragraph (a), a member of a Church Council or other body responsible for the management and administration of property shall be indemnified out of trust property against liability for any matter or thing done or liability incurred in the performance of functions as a member thereof except in the case of fraud, criminal act, gross negligence or willful misconduct.

LEGAL ACTIONS AND ARBITRATIONS3

4.9.1 The Property Trust in the State or Territory where proceedings are being taken may sue or be sued in its name on behalf of the Church or any agency of the Church or in relation to trust property.

4.9.2 Proceedings shall not be instituted or defended by or in the name of:(i) a Property Trust;(ii) the Church; or(iii) any agency of the Church,

without the prior approval of:

(a) the Standing Committee of the Synod in the State or Territory in which the proceedings are being taken or of the Moderator of that Synod, or

(b) in cases of urgency, the Property Officer of that Synod or the chairperson of the Presbytery within the bounds of which the action arose or the property affected by the proceedings is located.

4.9.3 All persons shall be entitled to rely upon a statement that the required consent has been given, if signed by an officer of the body by which or by the person by whom, the consent was given, without proof of the signature of that person.

The UCVT Unit will work with agencies to ensure that all Board members understand their role and duties and are equipped to carry these out to the best of their ability. The UCVT Unit will ensure that:

there is provision ofo governance training for Board members including information about:

the legal and ethical aspects of the role; best practice in governance; and changes in governance requirements.

o information on other Board professional development courseso model documentation to Boards for the establishment of governance policies

all Boards have a current copy of the UCVT Unit’s Statement of Purpose; forums for Board members are convened at least twice a year (in addition to the CFM

Board Forum with Board Chairs) to ensure the protocols are understood and enacted to the standard required;

decisions of the Assembly and Synod impacting on agencies are communicated in a timely manner.

notice is provided to a Board of any instance, the UCVT Unit is aware of, where an agency and/or its CEO/Manager has breached policy and the Board is unaware or has failed to act, or when the Board has colluded with its CEO/Manager whose behaviour/action is in violation of UCVT’s values or could threaten the agency’s viability or damage UCVT’s image or good name in the community.

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4. Board and Associated Council of the Church Relationship Councils of the Church associated with agencies (Associated Council) fulfil an important role in the life of agencies, ensuring the unity of word and deed in their structure, policy and practice. The Council of the Church associated with an agency or program shall be approved by the Standing Committee on the advice of the UCVT Unit. Unless otherwise approved by the Standing Committee, this Council shall be a Church Council, a Presbytery or the Synod. The role is built around mutual cooperation. The functions of the Associated Council shall be determined by the Regulations relating to that Council but, as outlined in the Model Constitution, include:

working in partnership with the agency Board of Governance towards achieving consistency between the work of the agency and the Basis of Union and the Constitution of the Uniting Church in Australia;

promoting the integration of the work of the agency or program with the life and mission of the church;

liaising with the agency Board of Governance in developing mission imperatives; ensuring, in consultation with the Board and the CEO, the personal pastoral care for

the employees, volunteers and residents (if applicable) of the agency, and members of the Board as appropriate;

facilitating the integration of the work of agencies within the life and mission of the church;

commissioning or inducting the CEO and other personnel of agencies where appropriate;

working in partnership with the agency Board of Governance to bring nominations to the Commission for Mission Board for membership of the agency Board of Governance; and

participating in any review conducted by the Commission for Mission Board of an Agency with whom they are associated.

It is in the best interests of UCA that the relationship between an agency and its Associated Council is soundly built and soundly managed. The UCVT Unit views this relationship as essential to the creation of a caring, trusting and cooperative community partnership designed to enhance the teachings of the church and its expressed values and mission in all aspects of the agency’s affairs. Accordingly the UCVT Unit will:

ensure that an Associated Council is made fully aware of the intention and potential of their role undertaken in mutual cooperation with an agency;

provide guidelines for the establishment and maintenance of a realistic and practical relationship, taking account of the necessity for the agency to govern its own affairs in order to meet all best practice standards of governance and their duty of care;

provide mediation as required in any dispute or grievance involving a Board and its Associated Council; and

provide guidelines for the use of logos.

5. Property ObligationsAll Property purchased and leased by an agency must be in the name of the Uniting Church in Australia Property Trust (Victoria) or the Uniting Church in Australia Property Trust (Tas.). The Trust generally acts under instruction from the Property Board but may also act under direct instruction from the Synod Standing Committee from time to time.

13 Powers and Duties of Trust4

(1) The Trust shall have perpetual succession and a common seal and may enter into contracts, sue and be sued in its corporate name and may take and hold any real or personal property.

4 The Uniting Church in Australia Act 1977, No. 9021 of 1977, (Version incorporating amendments as at 21 September 2008)

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(2) Subject to this Act, the Trust shall hold trust property in trust for the Church and upon any other trust affecting the property.

(3) Subject to subsection (2) the Trust shall hold, manage, administer and otherwise deal with trust property in accordance with the regulations, directions and resolutions of the Assembly.

FUNCTIONS OF PROPERTY BOARD5

4.2.1 Each Synod shall appoint a Property Board which shall:(a) advise the Synod with respect to policies relating to property within the bounds of the Synod;(b) supervise the implementation of the Synod’s policies in regard to property within the bounds of the Synod;(c) consult where appropriate and advise Presbyteries, Church Councils, institutions and other agencies of the Church with respect to property matters within their bounds;(d) receive proposals with respect to property matters submitted to it by the Presbyteries, Church Councils, institutions or agencies, ensure that each proposal is in accordance with the policies of the Synod with respect to property matters, development and mission and give the final decision with respect to such proposals;(e) initiate proposals with respect to property matters;(f) carry out functions (b) to (e) above in respect of departmental, institutional and other property outside the jurisdiction of Presbyteries and Church Councils;(g) only approve the transfer of any real estate vested in a Uniting Church Property Trust to any Aboriginal and Islander organisation with the prior approval of the National Executive of the Uniting Aboriginal and Islander Christian Congress. Refer to Regulation 3.6.45;(h) perform such other duties and functions with respect to property matters as may be referred or delegated to it by the Synod from time to time.

PROPERTY DEALINGS6

LEASES4.6.2 (a) Subject to paragraph (b) of this Regulation, a lease shall not be granted without the prior approval of the Synod Property Board.(b) Approval to grant or vary a lease or accept any surrender thereof may be given by the Church Council or other responsible body where:

(i) the term of the lease (including any options for renewal) does not exceed 3 years, and(ii) the premises are not a Church building, a Church hall or a Minister’s residence.

(c) A lease shall not be taken without the prior approval of the Synod Property Board.(d) All leases shall be executed by a Property Trust unless otherwise authorised by the Synod Property Board on such terms as it thinks fit.(e) All leases shall be taken or granted in the name of a Property Trust.(f) Each lease, or a copy thereof, shall be lodged with the Property Officer of the Synod.(g) This Regulation applies notwithstanding anything elsewhere contained in the Regulations.

PROPERTY TRANSACTIONS4.6.3 Unless special circumstances are declared to exist by Synod or its Standing Committee, no real estate shall be acquired, sold, mortgaged or (except as provided in Regulation 4.6.2) leased, or any rights, easements or other estates or interests therein granted or created, assigned or surrendered, or contracts entered into in respect of such matters or in respect of the erection, enlargement, structural alteration, improvement or demolition of any substantial building or the borrowing of any money unless the same shall be approved by the Church Council or other responsible body, the Presbytery and the Synod in the manner required.

APPLICATIONS FOR APPROVAL

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4.6.4 Application to the Presbytery or the Synod for approval of any proposed property transaction shall be made in such form and accompanied by such information as the Synod Property Board may require.

Prior to instructing the Trust in any property matters, the Property Board require that procedures be followed, including:

Form 1 – Getting Started must be completed as soon as you have an idea relating to any property matter. This informs the UCVT Unit and any other parts of the church who will to be involved in the process about your concept. At the discretion of the Board of Governance, an agency may complete several concurrent Form 1s relating to different proposals or combine multiple proposals into a single Form 1.

Form 2 – Discerning and Deciding must be completed once the agency’s Board of Governance has decided to proceed with a particular plan of action. This form links the idea to strategy and provides a little more detail than Form 1. There should be a single Form 2 following each Form 1 that has been submitted.

One or more of Forms 3A – 3G are to be completed depending on the nature of the application. Agencies generally only use:

o Form 3E – Application to Lease must be completed for all new leases (whether you are lessee or lessor) and also when negotiating a Memorandum of Understanding with another part of the church. No form is required when taking an option to renew a lease;

o Form 3F – Application to Sell must be completed any time a property is being sold;

o Form 3G – Application to Purchase must be completed for the purchase of a property;

o Form 3H – Application to Build must be completed any time when building a new building or altering an existing building. No form is required where the work will cost less than $50,000 and no building or planning permits are required;

o Form 3I – Application for Approval of Concept Study must be completed when considering a large (over $1,000,000) or complex building project.

The Board of Mission and Resourcing (BOMAR) are charged with facilitating access to the broadest possible base of church resources to resource local ministry and mission. A number of BOMAR policies have a direct impact on the day to day property dealings of agencies, including:

Property Sales Proceeds Policy – When a property under the beneficial use of a Congregation is sold a portion of the net proceeds is made available to the wider church for distribution by BOMAR. When an agency property is sold this policy does not apply, however for properties where beneficial use has been transferred from a Congregation to a UnitingCare agency this contribution must be made either at the time of the transfer or the time of the eventual sale of this property.

The Instrument of Delegation provides more detail about the specific thresholds above which these processes must be followed.

The UCVT Unit will undertake a liaison role between the Property Board and an agency to assist in ensuring all the Synod requirements are met in property undertakings. The UCVT Unit will assist in negotiating the “Beneficial Use” Memorandum of Understanding as necessary

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6. Financial Obligations The Board are accountable for the internal controls within an agency. They are required to take all reasonable actions to ensure that no financial harm comes to the agency they govern. The Board must:

ensure that there are proper budgeting/financial planning procedures in place and that these are implemented;

ensure that there is appropriate financial management of the agency’s funds, that the CEO/Manager and the Board follow the required financial procedures in the prudent management and monitoring of the use of the agency’s funds;

ensure that any cash reserves are deposited in the agency’s UCA Funds Management account;

seek written permission (email is acceptable), via the Director of the UCVT Unit, prior to the commencement of discussions with financial institutions regarding the borrowing of funds;

ensure that they approve the budget. If a deficit budget is projected ensure that the UCVT Unit Director and the Synod Financial Services Manager are informed of this in writing, along with action the Board is taking to fund the deficit;

appoint a qualified independent auditor to review the accounts and prepare an annual audit report. The report should include the scope of the audit, and the level of compliance of the agency to relevant accounting standards (including Urgent Issues Group Consensus views) and any guidelines issued by the UCVT Unit;

utilise robust criteria to determine that the agency is at all times solvent and thus able to meet its debts incurred in its normal practice of business;

ensure that it receives accurate and current financial reports from the CEO/Manager and act promptly, or ensure that there is prompt action, on any matters requiring remedial or corrective action;

respond in a timely fashion to all requests by the Finance Manager or the Synod Audit Committee for additional information;

ensure that all Board members have the necessary financial analysis skills and knowledge to ensure effective financial governance;

ensure that all financial requirements in the Model Constitution, the Instrument of Delegation or any issued by the Synod Audit Committee or Synod Risk Management Committee, are met;

ensure that the Synod Financial Services Manager and UCVT Unit Director are provided with regular financial data in compliance with all financial requirements (including provision of regular governance, annual budget, annual financial statements and annual audit report);

be fully aware of the extent of its authority (as outlined in the Instrument of Delegation) to make financial commitments or enter into binding contracts. When contracts or agreements require the endorsement of State or Federal authorities, adequate time and notice must be given to ensure that due processes can be followed. The Board must:

formally notify the UCVT Unit Director (email is acceptable) prior to submitting tenders, entering into contracts, or agreements that exceed the delegated level in the Instrument of Delegation;

accept the risk involved in entering or renewing a contract, agreement or tender, i.e. that should the terms of that contract, agreement or tender not be honoured by the agency, its assets are the first to be called on in order to meet the obligations; and

ensure that all contracts requiring sealing are presented to the Uniting Church in Australia Property Trust (Victoria) or (Tasmania) through the UCVT Unit for signing and/or sealing.

ensure that provision is made for all staff entitlements including all classes of accumulated leave;

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comply with any model contracts for the formation of partnerships, mergers and consortia and meet all obligations contained in the contracts;

ensure that all remuneration conditions contained in staff contracts are met according to the contract;

notify the UCVT Unit Director, at the earliest possible instance, of any inability or failure to meet any of these or other financial agreements established between the UCVT Unit and the Board;

notify the UCVT Director immediately the Board becomes aware that the actual financial position of the agency differs to that predicted in the budget, such that the agency risks moving into deficit or increasing the deficit;

comply with the financial management and budgeting requirements as outlined in Section 5, 5.5.6 – 5.5.10, Finance and Budgeting; Uniting Church in Australia Constitution and Regulations.

PRESBYTERY, SYNOD, ASSEMBLY AND OTHER FUNDS7

5.5.6 The Presbyteries, Synods, the Assembly and their agencies and organisations may establish funds to provide for the proper discharge of their purposes, responsibilities and objects, and they shall respectively be managed and administered by such persons or bodies and in such manner as the Presbytery, Synod or Assembly may determine.

BORROWING5.5.7 Before any Congregation, Church Council, organisation, or agency of the Church arranges for or incurs

a debt by means of borrowing it shall obtain the approval of the Synod Property Board or such body to whom the power of approval is delegated by it.

BENEFACTIONS AND BEQUESTS5.5.8 (a) Any money, shares or other property received as the result of a benefaction to the Church are to be

received by or transferred to:(i) in the case of specific benefactions — the Property Trust on behalf of the specific beneficiary;

(ii) in the case of other benefactions — the Property Trust for use by the councils of the Church as agreed.

(b) The proper receipt shall be evidenced by:(i) in the case of cash, a formal receipt issued by the Property Trust;

(ii) in the case of shares or other property, the appropriate form of documentation executed by the Property Trust.

(c) Proper documentary evidence of the purpose, use and/or disposal of income and capital emanating from the benefaction shall be provided to the Property Trust as the basis for distribution and use of the benefaction.

FINANCIAL TRANSACTIONS AND INVESTMENTS5.5.9 (a) A Synod may, and may establish a body or bodies authorised to:

(i) invest and manage funds on behalf of the Synod or on behalf of any Presbytery, Congregation or other body within the bounds of the Synod;

(ii) accept money on deposit;

(iii) borrow, raise, secure the payment of money or otherwise obtain financial accommodation including by the issue of debentures, bonds or other securities;

(iv) advance or lend money or otherwise make financial accommodation available or enter into financial transactions with or without security, at such rate of interest (if any) or for such other consideration (if any) and on such terms as to repayment and otherwise as the Synod may authorise;

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(v) issue, draw, accept, endorse or discount bills of exchange, promissory notes, payment orders or other negotiable instruments;

(vi) enter into any transaction for the purpose of reducing the risk of loss or increasing the prospect of gain arising from changes in interest, discount or currency exchange rates or other rates or factors affecting financial markets;

(vii) guarantee, indemnify or be surety for the payment of money or performance of contracts or obligations by any person with or without securing the liabilities so incurred.

Subject to Regulation 5.5.9(b) all investments, borrowings and other transactions authorised by this Regulation are to be made in the name of the Property Trust and within such guidelines as the Synod shall determine.

(b) The body responsible for the management and administration of any fund may invest in its own name monies not immediately required for the purposes of that fund, provided that the amount and the period do not exceed the limits prescribed by the Synod and that the investment is of a nature approved by the Synod. Where the amount or period of a proposed investment exceeds the limits set down by the Synod the specific approval of the Synod shall be obtained for the investment made by the Synod investment agency on behalf of the fund concerned.

ACCOUNTING AND AUDIT5.5.10 Books of Account

(a) The proper use of approved methods of accounting is required in relation to all funds of the Church. The body responsible shall keep proper books of account in which shall be entered an account of all receipts and disbursements received or made, of all credits and debts owing or due and of all matters necessary for the due and full explanation of same, and the body responsible shall, upon the request of the chairperson of the Church Council or other appointing body or the Synod Property Officer or any person authorised by any one of them, produce the same together with all supporting or relevant accounts, receipts, documents and writings for inspections, and shall permit extracts therefrom or copies thereof to be made by any such officers of persons authorised as aforesaid.

Monies to be banked(b) All monies received from time to time shall be placed to the credit of an account in the name of the body responsible in any one or more of the following institutions:

(i) a bank;

(ii) a permanent building society;

(iii) a credit union;

(iv) a fund or agency of the Church;

(v) any other body; provided the particular financial institution has been approved by the Synod.

The body responsible shall appoint two or more persons to operate on such account and may from time to time alter or revoke a previous appointment and/or make new or additional appointments. Any such institution shall be empowered to honour such withdrawals by way of cheque or otherwise bearing the signature of any two of such persons, unless and until written notice shall be given to and received by such institution of any other appointment or the alteration or revocation of any appointment.

Audit(c) The books of account shall be audited and certified by the auditors at least once in every year and at such other times as may be required by the chairperson of the Church Council or other appointing body as the case may require.

Appointment of Auditors

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(d) The auditor or auditors shall be appointed annually. Subject to the variation in (e) below, the auditor(s) shall be a qualified accountant or, if more than one, shall include at least one qualified accountant. For the purpose of this Regulation a qualified accountant means:

(i) a person who is a member of the Institute of Chartered Accountants in Australia or the Australian Society of Certified Practising Accountants, or

(ii) any other person who has qualifications and experience requisite for registration as a company auditor under the Corporations Law and who in the opinion of the appointing body is a fit and proper person to undertake the responsibility.

Variations to Qualifications(e) Where the gross income of a Congregation or body or fund in the year is below a figure that equates to 2.5 times the notional stipend the books of account may be audited and certified by two persons who are not qualified in terms of (d) above, but who are, in the opinion of the appointing body, fit and proper persons to undertake the responsibility. Notional stipend for the purpose of this Regulation means the amount determined for the year by the Board of Directors of Benefund Limited.

Eligibility as Auditor(f) The auditor appointed shall not be a member of the board, council or committee whose accounts are being audited unless a Presbytery with respect to accounts of Congregations or Congregational organisations within its bounds, or the Synod Property Board with respect to accounts of other councils or organisations, determines, at the request of the appointing body, that special circumstances exist in which case a member of the board, council or committee may be appointed to be auditor.

Presentation of Accounts(g) Audited accounts signed by the auditors and bearing a certificate in such form as the Synod may prescribe shall be submitted to the Church Council, or other appointing body or the body responsible for their administration and control, as may be appropriate, at least once in every year, and to the Synod Property Board and the Presbytery Property Committee (in respect of Congregations and their organisations) whenever required.

Budgets(h) Comprehensive and detailed budgets should be prepared during the current year for the next succeeding year for:(i) a Congregation and its organisations — in the manner directed and approved by the Church Council;

(ii) a Presbytery and its committees — in the manner directed and approved by the Presbytery;

(iii) Synod divisions, boards, agencies — in the manner directed and approved by the Synod or its delegated authority;

(iv) Assembly commission ns and agencies — in the manner directed and approved by the Assembly or its delegated authority.

The UCVT Unit will: provide information on, and training in, financial governance to Boards; provide and maintain a current set of guidelines for all Uniting Church of Australia

financial compliance and reporting requirements; process documents for sealing as quickly as possible so that agencies are not

inconvenienced or hindered in their business transactions; process all financial transactions requiring endorsement or authority in a timely

manner so that agencies are not hampered in their business dealings; assist with appropriate expert financial advice and support for Boards when the latter

are unable, for whatever reason, to contract such support through their own efforts; notify Property Board and Property Trusts of matters requiring their attention.

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7. Communication ChannelsThe UCVT Unit and agencies should make every attempt to establish clear, harmonious and productive two-way communication. Protocols are designed to ensure that the right message goes to the right person/s or group in a timely and appropriate manner. Accordingly:

the official connection between the agency and the UCVT Unit is between the Board, via its Chairperson, and the UCVT Director or his/her delegate.

regular informal communication channels will be between the Director and the CEO/Manager.

there is an expectation that communications from the UCVT Unit to the Board channelled through the CEO/Manager will be duly passed on to the Board at the earliest convenience so that an appropriate response can be made.

in the event that a Board is dissatisfied with the response of the UCVT Unit Director (or his/her delegate) to an agency issue or request, a grievance procedure is available to the Board.

The UCVT Unit will: foster appropriate communication channels between the UCVT Unit and Boards; facilitate meetings of CEOs/Managers on a regular basis; ensure that any communication needing to reach a Synod Commission for Mission

Board meeting will be transmitted in a timely manner; and make all reasonable efforts to address issues raised by Boards in a timely manner

and, whenever possible, to meet their legitimate requirements. If this is not possible, an explanation of the reasons will be provided as to why the requirement could not be met in whole or in part.

8. Interacting with the MediaUCVT has an interest to ensure that all media coverage of matters relating to agency business or matters that could be interpreted by the public to be the business of UCVT, is factually correct and accurate within the context of the Church and the mission of UCVT. Agencies are required to:

notify the UCVT Unit Director when a critical incident is (or is likely to be) reported in the media;

develop a media policy that makes clear the processes to be used when issuing media statements or responding to unplanned media requests for coverage or information and who has the authority to interact with media personnel.

make all reasonable efforts (including liaising with the Synod Communications and Media Services (CoMS) Unit) to ensure that the information given is factually correct and accurately reflects UCVT and the Uniting Church in Australia’s policy where relevant.

The UCVT Unit and CoMS Unit will provide advice and guidance to any agency wishing to use the media to promote its programs and services or to respond to requests from the media for coverage of an event or situation/circumstance. The CoMS Unit may charge additional fees for tasks undertaken. The agency should negotiate this fee with the CoMS Unit prior to the commencement of the task.

9. Service Delivery and Standards UCVT is committed to the provision of high quality, appropriate and timely services. Boards must ensure their agencies:

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adopt as standard practice, client-centred service planning. Where there is more than one client group, consideration must first be given to the most vulnerable person who receives the service;

deliver outcomes that meet or exceed the expectations and measurable standards required by or agreed with service users, funding bodies, the UCVT Unit and the wider community;

notify the UCVT Unit when a standard cannot be met such that there is significant risk to service quality or to its clients;

adopt quality assurance and continuous improvement practices and processes; facilitate client input into the assessment of service delivery practices; engage in formal strategic planning and budget processes that look forward at least 3

years, in consultation with the UCVT Unit and consistent with the UCVT Strategic Framework;

ensure safeguards are in place to ensure information related to service users is not misused or inappropriately disclosed as required by the Privacy Act;

ensure all research activities are consistent with UCVT’s Research Ethics Code of Conduct; and

ensure all fundraising activities are consistent with UCVT’s Ethical Fundraising Guidelines and meet the Fundraising Institute Australia Principles and Standards of Fundraising Practice.

The UCVT Unit will: assist with guidelines, models and consulting support for strategic and business

planning; assist with guidelines, models and consulting support for client-centred service

planning; provide assistance and guidance in the development of quality practices, standards

and systems; and provide guidelines related to client privacy and confidentiality.

10. Industrial Relations/ Human Resource Management PracticesAgencies and their Boards have the right to establish their own workplace relations and culture but they must ensure that all employees, volunteers and contractors are provided with a safe, dignified and fair working environment. All agencies will carry out all aspects of their industrial/human resources management in a manner consistent with the spirit and clear intention of Uniting Church policy and its stated values in accordance with the Uniting Church as Employer policy document. The Board are required to:

ensure the UCVT Unit is notified of any existing or potential dispute that will or could:o violate the spirit or clear intention of any church policy or stated value;o result in action against the agency; o result in negative media coverage; oro threaten or harm the Uniting Church’s good name in the community

develop and implement:o written personnel policies that make clear rules for employees and protect

them against unfair or unethical practices;o policies that protect employees and volunteers against bullying, harassment

and sexual harassment in the workplace;o policies that protect employees and volunteers against physical harm that

could result from the nature of their work; ando an approved and fair internal grievance process for all employees and

volunteers;

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not deny to any employee or volunteer the opportunity to express ethical position-related dissent;

not discriminate against any employee or volunteer for expressing an ethical dissent; not breach any part of relevant workplace employment legislation; meet all remuneration obligations to employees in a timely and appropriate manner;

and be familiar with the Uniting Church as Employer document.

The UCVT Unit will: make clear what is meant by the “spirit or intention” of the Uniting Church’s policies

or position in respect to industrial relations and human resources issues; ensure that all Boards have a current copy of Uniting Church as Employer document

and UnitingCare Australia's Faith Foundations document; respect the Board’s right to make informed choices and a reasonable interpretation of

these policy guidelines; provide sample practical guidelines, policies and procedures to assist new or existing

agencies in the design of industrial relations practices; assist with industrial relations/human resources consulting support and regular

training; and maintain membership of Jobs Australia (or equivalent) to enable agencies to access

professional advice on industrial matters.

11. Manage Risk and External Compliance RequirementsBoards must ensure that they carry out effective risk management assessment and establish policies and actions to protect the agency against adverse events or circumstances, such as non-compliance with externally imposed rules or requirements. Boards are required to:

undertake an annual risk assessment in relation to all aspects of the agency’s business and to design and implement strategies to minimise the likelihood of adverse events or circumstances in areas such as:

financial management; personnel management/industrial relations; fire, security, etc.; harm caused to clients, staff, contractors or visitors entering or using the

agency’s buildings or grounds; and Work Health and Safety.

ensure that all premises meet appropriate standards including any statutory or minimum code and accreditation requirements;

work co-operatively with the Synod Risk Management Committee; maintain an appropriate level of insurance, through the Synod Property Board,

consistent with prudent risk-management and complete the appropriate annual returns;

inform the Synod Property Board through the UCVT Unit when there are changes to local circumstances that will, or could have, an impact on relevant insurance cover or other risk management mechanisms;

meet all externally imposed compliance requirements such as those imposed by the Uniting Church in Australia, e.g. property approval processes - Property Board, the UCVT Unit’s Guidelines for agency mergers, local government By-Laws, requirements of funding bodies, State and Federal requirements etc.;

establish and implement policies that protect against a conflict of interest in the purchase of goods or services by the agency or by individual employees;

establish and implement policies that protect intellectual property, information, and files from loss, improper use, improper purposes, or significant damage; and

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ensure that all Board members are aware of their responsibilities and duties under Corporations Law and are aware of the limits on their personal liability and the indemnity clause in the Uniting Church in Australia Regulations Section 4.12.1 (a) and (b).

The UCVT Unit will assist all agencies to implement appropriate risk management policies and strategies by:

providing considered advice or a point of reference for any agencies seeking assistance in the development or management of their risk management program;

liaising with the Synod Insurance Services Manager to provide advice on the adequacy of the level of insurance;

providing timely information from the Synod Risk Management Committee; and ensuring that all Agencies have an up-to-date copy of all Uniting Church in Australia,

Commission for Mission and UCVT policies and guidelines that make clear the processes and requirements binding on agencies.

12. Grievance Procedures It is recognised that in a workplace, grievances can occur in response to a range of workplace practices and circumstances. Processes for the resolution of grievances should be fair, equitable, ethical and consistent, at all times following principles of natural justice. Agencies:

are required to have in place appropriate internal grievance policies and processes that are consistent with formal grievance and disciplinary processes specified under Industrial Awards or Agreements;

should make every reasonable effort to resolve internal grievances before the intervention of outside agencies or mediators;

should ensure that there are policies in place defining the processes to be followed in the event of:

o a staff member bringing a grievance against his/her CEOo a CEO/Manager bringing a grievance against his/her employing Board.

The UCVT Unit will assist to ensure disputes and grievances are resolved in a manner that achieves the best possible outcomes for all parties by:

providing a model grievance procedures/policies for the resolving of internal grievances;

providing timely and thorough response to any grievance that requires the intervention/participation of the UCVT Unit personnel.

Disputes involving the UCVT Unit and an agency

When the UCVT Unit has concerns about an agencyIt is expected that where the UCVT Unit has identified serious concerns with the operation of an agency these would be raised informally, in the first instance, with the Chairperson of the Board and the CEO.

The following steps should be followed in any processes of intervention, noting that the intervention may cease after any step if the issue is resolved.

A letter (specifying issues of concern and steps to remedy the concerns) to the Chairperson of the Board of Governance, with a copy to the CEO.

If the matter is unresolved a deputation by persons appointed by the UCVT Unit to a special meeting of the Board of Governance to discuss the concerns.

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If unresolved the Board of Governance will be suspended and Commissioners appointed. (This action to be taken by the Moderator after receiving advice from the UCVT Director Unit and the Executive Director, Commission for Mission.)

Wind up the agency. (This action to be taken by a meeting of the Synod or its Standing Committee after receiving advice from the Commission for Mission Board.)

When an agency has concerns about the UCVT UnitThe following steps should be followed in any processes of complaint, noting that the complaint may be resolved at any step in the process.

The agency will first contact the UCVT Unit Director If the grievance relates to the UCVT Unit Director then the matter will go directly

to the Executive Director of the Commission for Mission. If the matter is unresolved, the agency will raise the dispute with the Executive

Director, Commission for Mission, who will, at the Executive Director's discretion, take the matter to a meeting of the Commission for Mission Board.

If unresolved, the matter will be forwarded to the General Secretary, who is the Chief Executive Officer of the Synod staff.

If still unresolved the matter will be forwarded to the Moderator and, if necessary, the Standing Committee of the Synod.

Internal dispute in an agency, brought to the attention of the UCVT UnitThe following steps should be followed in any processes of intervention, noting that the intervention may cease after any step if the issue is resolved. (These steps are not intended to be a substitute for any formal grievance and disciplinary processes as specified under Industrial Awards or Agreements).

The complaint will be referred to the UCVT Unit Director by the complainant. UCVT Unit Director must raise the complaint with the CEO of the agency concerned,

requesting a resolution. The CEO must notify the UCVT Unit Director in writing of all action taken.

If the UCVT Unit Director is not satisfied that the complaint has been resolved satisfactorily then she/he will communicate with the Board of Governance about the matter.

If the complaint remains unresolved, the UCVT Director will establish a Complaints Committee made up of representatives of the UCVT Unit and peers of the agency to determine the matter.

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