Quality Agency Principles 2013 (Cth)

Quality Agency Principles 2013

made under section 53 of the

Australian Aged Care Quality Agency Act 2013

Compilation No. 2

Compilation date: 25 May 2016

Includes amendments up to: F2016L00830

About this compilation

This compilation

This is a compilation of the Quality Agency Principles 2013 that shows the text of the law as amended and in force on 25 May 2016 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Legislation Register ( The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the series page on the Legislation Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the series page on the Legislation Register for the compiled law.

Self‑repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

Contents

Chapter 1—Preliminary 1

1.1 Name of principles................................................................................................................ 1
1.3 Authority............................................................................................................................... 1
1.4 Definitions............................................................................................................................. 1
1.5 Meaning of commencing service........................................................................................... 4
1.6 Meaning of externally accredited service.............................................................................. 5

Chapter 2—Residential care services and certain flexible care services 6

Part 1—Accreditation 6
Division 1—Applications for accreditation or re‑accreditation 6
2.1 Purpose of this Division........................................................................................................ 6
2.2 Application for accreditation or re‑accreditation.................................................................... 6
2.3 Requirements for application for accreditation or re‑accreditation......................................... 6
2.4 Acceptance of application...................................................................................................... 6

Division 2—Assessment and decision: accreditation of commencing services 7
2.6 Purpose of this Division........................................................................................................ 7
2.7 CEO must make decision on application............................................................................... 7
2.8 Decision to accredit commencing service.............................................................................. 7

Division 3—Assessment and decision: re‑accreditation of accredited and previously accredited services 9
Subdivision A—Preliminary 9
2.9 Purpose of this Division........................................................................................................ 9

Subdivision B—Site audit 9
2.10 Action after receiving application........................................................................................ 9
2.11 Notification of site audit...................................................................................................... 9
2.12 Approved provider must inform care recipients about site audit.......................................... 9
2.13 Self‑assessment information.............................................................................................. 10
2.14 Conducting the site audit................................................................................................... 10
2.15 Site audit meetings............................................................................................................. 11
2.16 Report of major findings................................................................................................... 11
2.17 Site audit report................................................................................................................. 11

Subdivision C—Decision on application for re‑accreditation 12
2.18 CEO must make decision on application........................................................................... 12
2.19 Decision to re‑accredit relevant service.............................................................................. 12
2.20 Decision not to re‑accredit relevant service........................................................................ 13
2.21 Decision to revoke accreditation of accredited service....................................................... 13

Division 4—Notification of decision on application for accreditation or re‑accreditation 14
2.22 Purpose of this Division.................................................................................................... 14
2.23 Notification of decision to accredit or re‑accredit service................................................... 14
2.24 Notification of decision not to accredit or not to re‑accredit service................................... 15
2.25 Notification of decision to revoke accreditation of accredited service................................ 15

Division 5—Publication of decisions 17
2.26 CEO must publish accreditation decisions......................................................................... 17

Part 2—Monitoring of accredited services 18

Division 1—Preliminary 18
2.27 Purpose of this Part........................................................................................................... 18

Division 2—Continuous improvement 19
2.28 Approved provider must have plan for continuous improvement...................................... 19
2.29 Approved provider must make plan available to CEO and assessment teams................... 19

Division 3—Assessment contacts 20
2.30 Meaning of assessment contact for an accredited service.................................................. 20
2.30A Assessment contacts for certain accredited services with the same approved provider... 20
2.31 CEO may vary arrangements for assessment contacts....................................................... 20
2.32 Informing care recipients of assessment contact in the form of visit to service.................. 20
2.33 Additional assessment contacts......................................................................................... 21
2.34 Action following assessment contact................................................................................. 21

Division 4—Review audit 22
2.35 When a review audit is to be conducted............................................................................. 22
2.36 Appointment of assessment team...................................................................................... 22
2.37 Informing care recipients of review audit.......................................................................... 22
2.38 Conducting the review audit.............................................................................................. 23
2.39 Review audit meetings....................................................................................................... 23
2.40 Report of major findings................................................................................................... 23
2.41 Review audit report........................................................................................................... 24

Division 5—Decision following review audit 25
2.42 CEO must make decision about accreditation of service after receiving review audit report 25
2.43 Decision to revoke accreditation of service........................................................................ 25
2.44 Decision not to revoke accreditation of service.................................................................. 26

Division 6—Notification of decision following review audit  27
2.45 Notification of decision to revoke accreditation of service................................................. 27
2.46 Notification of decision not to revoke accreditation of service and not to vary accreditation period               27
2.47 Notification of decision not to revoke accreditation of service and to vary accreditation period     28

Division 7—Publication of decisions 29
2.48 CEO must publish certain decisions made under this Part................................................. 29

Part 3—Registration of quality assessors 30
2.49 Purpose of this Part........................................................................................................... 30
2.50 Application for registration as quality assessor................................................................. 30
2.51 Decision on application for registration............................................................................. 30
2.52 Application for registration for further period................................................................... 31
2.53 Decision on application for further registration................................................................. 32
2.54 Quality assessor must inform CEO if convicted of serious offence.................................. 32
2.55 Cancellation of registration as quality assessor.................................................................. 33
2.56 Spent convictions.............................................................................................................. 33

Part 4—Assessment teams 34
2.57 Purpose of this Part........................................................................................................... 34
2.58 Eligibility for appointment to assessment team.................................................................. 34
2.59 Appointment of assessment team...................................................................................... 34
2.60 Replacement of assessment team member......................................................................... 35
2.61 Objection to appointment of assessment team member for site audit................................. 35

Part 5—Dealing with non‑compliance by approved provider 37
2.62 Purpose of this Part........................................................................................................... 37
2.63 Failure to comply with Accreditation Standards or Flexible Care Standards..................... 37
2.64 Action if improvements not satisfactory............................................................................ 38

Part 6—Reconsideration and review 39
2.65 Purpose of this Part........................................................................................................... 39
2.66 Decisions that may be reconsidered................................................................................... 39
2.67 Relevant person may request reconsideration of decision.................................................. 39
2.68 CEO must reconsider decision on request by relevant person........................................... 40
2.69 CEO may reconsider decision on CEO’s own initiative.................................................... 40
2.70 Review by Administrative Appeals Tribunal..................................................................... 41
2.71 Publication of reconsideration decisions............................................................................ 41
2.72 Publication of Administrative Appeals Tribunal decisions................................................ 42

Chapter 3—Home care services and certain flexible care services 43

Part 1—Preliminary 43
3.1 Application of this Chapter.................................................................................................. 43

Part 2—Quality review 44
Division 1—Preliminary 44
3.2 Purpose of this Part............................................................................................................. 44
3.3 Quality review of home care services must be conducted every 3 years.............................. 44

Division 2—Site visits 45
3.4 Notification of site visit....................................................................................................... 45
3.5 Approved provider must inform care recipients about site visit........................................... 45
3.6 Self‑assessment information................................................................................................ 45
3.7 Conducting a site visit......................................................................................................... 46
3.8 Site visit meetings................................................................................................................ 46
3.9 Interim quality review report............................................................................................... 46
3.10 Final quality review report................................................................................................. 47
3.11 When plan for continuous improvement must be revised.................................................. 47

Division 3—Continuous improvement 49
3.12 Approved provider must have plan for continuous improvement...................................... 49
3.13 Approved provider must make plan available to CEO on request..................................... 49

Part 3—Assessment contacts 50
3.14 Meaning of assessment contact for home care services and certain flexible care services. 50
3.15 Assessment contacts may be made at any time.................................................................. 50
3.15A Assessment contacts for certain relevant care services with the same approved provider 50
3.16 Action following assessment contact................................................................................. 51

Part 4—Dealing with non‑compliance by approved provider 52
3.17 Purpose of this Part........................................................................................................... 52
3.18 Failure to comply with Home Care Standards or Flexible Care Standards........................ 52
3.19 Action if improvements not satisfactory............................................................................ 53

Chapter 4—Other matters 54

Part 1—Protection of information 54
4.1 Identifying information must not be disclosed to approved provider................................... 54

Part 2—Fees 55
4.2 Purpose of this Part............................................................................................................. 55
4.3 Fees for materials................................................................................................................ 55
4.4 Fees for seminars or conferences........................................................................................ 55

Chapter 5—Transitional provisions 56

Part 1—Transitional provisions relating to the Aged Care Legislation Amendment (Short‑term Restorative Care) Principles 2016 56
5.1 Flexible care services taken to be accredited services.......................................................... 56
5.2 Flexible care services taken to be previously accredited services......................................... 56

Endnotes57
Endnote 1—About the endnotes  57
Endnote 2—Abbreviation key  58
Endnote 3—Legislation history  59
Endnote 4—Amendment history  60

Chapter 1—Preliminary

1.1 Name of principles
These principles are the Quality Agency Principles 2013.

1.3 Authority
These principles are made under section 53 of the Australian Aged Care Quality Agency Act 2013.

1.4 Definitions
In these principles:
Accountability Principles means the Accountability Principles in force under section 96‑1 of the Aged Care Act.
accredited service means:
(a) a residential care service that is accredited under:
(i) these principles; or
(ii) the Accreditation Grant Principles 2011 (as in force at any time before they were repealed); or
(iii) the Accreditation Grant Principles 1999 (as in force at any time before they were revoked); or
(b) a residential care service for which a determination under section 42‑5 of the Aged Care Act is in force; or
(c) a flexible care service that is accredited under these principles or that is taken to be an accredited service.
Note: See section 5.1 for when a flexible care service is taken to be an accredited service.

Aged Care Act means the Aged Care Act 1997.
assessment contact:
(a) for an accredited service—has the meaning given by section 2.30; and
(b) for a home care service or a flexible care service through which short‑term restorative care is provided in a home care setting—has the meaning given by section 3.14.

assessment team:
(a) for a site audit—means an assessment team appointed under subsection 2.59(1); and
(b) for a review audit—means an assessment team appointed under subsection 2.59(2).

care recipient:
(a) of a residential care service—means a person who is being provided with residential care by a residential care service; and
(b) of a home care service—means a person who is being provided with home care by a home care service; and
(c) of a flexible care service through which short‑term restorative care is provided—a person who is being provided with short‑term restorative care by the flexible care service.

commencing service has the meaning given by section 1.5.
entrusted person means a person who is or was:
(a) the CEO of the Quality Agency; or
(b) a person assisting the CEO under section 27 of the Quality Agency Act; or
(c) a consultant to the CEO under section 28 of the Quality Agency Act; or
(d) a member of the staff of the Quality Agency; or
(e) a member of an assessment team.

externally accredited service has the meaning given by section 1.6.
final quality review report means a report prepared under subsection 3.10(1).
flexible care place means a capacity within a flexible care service for provision of flexible care in the form of short‑term restorative care to a person.
flexible care service has the meaning given by the Dictionary in Schedule 1 to the Aged Care Act.
Flexible Care Standards means the Flexible Care Standards set out in the Quality of Care Principles made under section 96‑1 of the Aged Care Act.
home care setting has the meaning given by section 4 of the Subsidy Principles 2014.
identifying information means:
(a) information that could identify a care recipient or former care recipient, or a representative of a care recipient or former care recipient, of a residential care service, a home care service or a flexible care service through which short‑term restorative care is provided as a person who has given information to an entrusted person about the care and services provided by the approved provider of the service; or
(b) information that could identify any other person as a person who has provided information to an entrusted person about the approved provider of a residential care service, a home care service or a flexible care service through which short‑term restorative care is provided, if the other person asked the entrusted person, when providing the information, to keep the other person’s identity confidential.

interim quality review report means a report prepared under subsection 3.9(1).
permanent resident, of a country, means a person who is usually resident in the country and whose continued lawful presence in the country is not subject to a limitation as to time imposed by law.
place has the meaning given by clause 1 of Schedule 1 to the Aged Care Act.
plan for continuous improvement:
(a) for an accredited service—has the meaning given by section 2.28; and
(b) for a home care service or a flexible care service through which short‑term restorative care is provided in a home care setting—has the meaning given by section 3.12.

police certificate, for a person, means a report prepared by the Australian Federal Police, or the police force or police service of a State or Territory, about the person’s criminal conviction record.
previously accredited service means:
(a) a residential care service, or a flexible care service through which short‑term restorative care is provided, that was, but is no longer, an accredited service; or
(b) a flexible care service through which short‑term restorative care is provided that was, but is no longer, an externally accredited service; or
(c) a flexible care service through which short‑term restorative care is provided that is taken to be a previously accredited service.
Note: See section 5.2 for when a flexible care service through which short‑term restorative care is provided is taken to be a previously accredited service.

Quality Agency Act means the Australian Aged Care Quality Agency Act 2013.
Quality Agency Reporting Principles means the Quality Agency Reporting Principles in force under section 96‑1 of the Aged Care Act.
quality reviewer means a member of the staff of the Quality Agency to whom powers or functions of the CEO of the Quality Agency in relation to the quality review of home care services or flexible care services have been delegated under subsection 54(1) of the Quality Agency Act.
re‑accreditation, for an accredited service or a previously accredited service, means accreditation of the service for a further period.
relevant home care service has the meaning given by section 3.2.
relevant person, for a decision mentioned in column 1 of an item in the table in section 2.66, means the person mentioned in column 3 of that item.
representative, for a care recipient of a residential care service, a home care service or a flexible care service through which short‑term restorative care is provided, means a person notified to the approved provider of the service as acting for the care recipient.
residential care place means a capacity within a residential care service for provision of residential care to an individual.
residential care service includes a commencing service.
residential care setting has the meaning given by section 4 of the Subsidy Principles 2014.
review audit, of an accredited service, means an audit of the service conducted under Division 4 of Part 2 of Chapter 2.
review audit report has the meaning given by subsection 2.41(1).
self‑assessment information:
(a) for a residential care service—means written information from the approved provider of the service that demonstrates the provider’s performance, in relation to the service, against the Accreditation Standards; and
(b) for a home care service—means written information from the approved provider of the service that demonstrates the provider’s performance, in relation to the service, against the Home Care Standards; and
(c) for a flexible care service through which short‑term restorative care is provided—means written information from the approved provider of the service that demonstrates the provider’s performance, in relation to the service, against the Flexible Care Standards that apply to the service.

short‑term restorative care has the meaning given by section 4 of the Subsidy Principles 2014.
site audit, of a residential care service or a flexible care service through which short‑term restorative care is provided, means an audit of the service conducted under Subdivision B of Division 3 of Part 1 of Chapter 2.
site audit report has the meaning given by subsection 2.17(1).
site visit, in relation to a home care service or a flexible care service through which short‑term restorative care is provided, means a visit, under Division 2 of Part 2 of Chapter 3, to the premises of the approved provider of the service.
Note:          A number of expressions used in these principles are defined in the Quality Agency Act, including the following:
(a)    Accreditation Standards;
(b)    CEO;
(c)    Home Care Standards;
(d)    protected information;
(e)    Quality Agency;
(f)    quality assessor.

1.5 Meaning of commencing service
(1) A residential care service is a commencing service if:
(a) an approved provider has been allocated places, under Division 14 of the Aged Care Act, for the service; and
(b) residential care has not previously been provided for those places through that service; and
(c) the service is not an accredited service or a previously accredited service.
Note: A change in the approved provider to which places are allocated for a residential care service, or a change in the location of a residential care service, does not make the service a commencing service.

(2) A flexible care service through which short‑term restorative care is provided in a residential care setting is a commencing service if:
(a) the short‑term restorative care is provided in a facility where residential care is provided through a residential care service; and
(b) that residential care service is a commencing service; and
(c) the flexible care service is not an externally accredited service.

1.6 Meaning of externally accredited service
A flexible care service through which short‑term restorative care is provided is an externally accredited service if:
(a) an approved provider has been allocated flexible care places, under Division 14 of the Aged Care Act, for the flexible care service; and
(b) short‑term restorative care has not previously been provided for those places through the service; and
(c) the service is not, and has never previously been, accredited under these principles; and
(d) the service is not taken to be an accredited service or a previously accredited service; and
(e) the approved provider has not previously received residential care subsidy, home care subsidy or flexible care subsidy under Chapter 3 of the Aged Care Act or under Chapter 3 of the Aged Care (Transitional Provisions) Act 1997; and
(f) either:
(i) there is in force an accreditation of the service issued by a government body (other than the Quality Agency); or
(ii) there is in force an accreditation of the service issued by a non‑government body and the Secretary has notified the approved provider, in writing, that the non‑government body is approved for the purposes of this subparagraph.
Note: See sections 5.1 and 5.2 for when a flexible care service is taken to be an accredited service or a previously accredited service.

Chapter 2—Residential care services and certain flexible care services

Part 1—Accreditation

Division 1—Applications for accreditation or re‑accreditation

2.1 Purpose of this Division
The purpose of this Division is to provide for applications to be made for:
(a) accreditation of a commencing service; or
(b) re‑accreditation of an accredited service; or
(c) re‑accreditation of a previously accredited service.

2.2 Application for accreditation or re‑accreditation
(1) An approved provider of a commencing service may apply to the CEO of the Quality Agency for accreditation of the service.
(2) An approved provider of an accredited service, or a previously accredited service, may apply to the CEO of the Quality Agency for re‑accreditation of the service.

2.3 Requirements for application for accreditation or re‑accreditation
(1) An application by an approved provider under section 2.2 must:
(a) be in writing; and
(b) be in the form approved by the CEO of the Quality Agency; and
(c) include an undertaking by the approved provider to undertake continuous improvement in relation to the relevant service, measured against the Accreditation Standards or Flexible Care Standards (as applicable), if the service is accredited or re‑accredited; and
(d) be accompanied by the applicable application fee.

(2) The application may be accompanied by self‑assessment information in relation to the relevant service.

2.4 Acceptance of application
The CEO of the Quality Agency must not accept an application made under section 2.2 if the application does not comply with subsection 2.3(1).

Division 2—Assessment and decision: accreditation of commencing services

2.6 Purpose of this Division
The purpose of this Division is to set out how a decision is to be made on an application made under section 2.2 for accreditation of a commencing service.
Note: The CEO of the Quality Agency must not accept an application made under section 2.2 if the application does not comply with subsection 2.3(1) (see section 2.4).

2.7 CEO must make decision on application
(1) Within 16 days after the CEO of the Quality Agency receives the application, the CEO must decide:
(a) to accredit the commencing service; or
(b) not to accredit the commencing service.

(2) However, the decision may be made by a later date agreed by the CEO and the approved provider.
(3) In making a decision under subsection (1), the CEO:
(a) must take into account:
(i) the application; and
(ii) any relevant information about the approved provider of the service given to the CEO by the Secretary; and
(iii) whether the CEO is satisfied that the approved provider of the service will undertake continuous improvement in relation to the service, measured against the Accreditation Standards or Flexible Care Standards (as applicable), if the service is accredited; and
(b) may take into account any other relevant matter.

(4) The CEO must record, in writing, the decision on the application and the reasons for the decision.
Note 1:Requirements for notifying the approved provider of the decision are set out in Division 4.
Note 2: The approved provider may request reconsideration of a decision not to accredit the service (see Part 6).

2.8 Decision to accredit commencing service
(1) If the CEO of the Quality Agency decides to accredit the commencing service, the CEO must:
(a) accredit the service for 1 year; and
(b) decide whether there are any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(c) decide the arrangements for assessment contacts with the approved provider of the service.

(2) The CEO must record, in writing, the decisions mentioned in subsection (1).

Division 3—Assessment and decision: re‑accreditation of accredited and previously accredited services

Subdivision A—Preliminary
2.9 Purpose of this Division
The purpose of this Division is to set out how a decision is to be made on an application made under section 2.2 for:
(a) re‑accreditation of an accredited service; or
(b) re‑accreditation of a previously accredited service.
Note: The CEO of the Quality Agency must not accept an application made under section 2.2 if the application does not comply with subsection 2.3(1) (see section 2.4).

Subdivision B—Site audit
2.10 Action after receiving application
As soon as practicable after receiving an application under section 2.2, the CEO of the Quality Agency must:
(a) appoint an assessment team to conduct a site audit of the service (in this Division called the relevant service) to which the application relates; and
(b) consult with the approved provider of the service about when the site audit will be conducted.
Note: Part 4 deals with the appointment of assessment teams.

2.11 Notification of site audit
Within 28 days after receiving an application under section 2.2, the CEO of the Quality Agency must:
(a) notify the approved provider of the relevant service, in writing, of:
(i) the date or dates on which the site audit of the service is to be conducted; and
(ii) the full names of each member of the assessment team that is to conduct the site audit; and
(iii) the form of words to be used to tell care recipients of the service about the site audit; and
(b) give the approved provider a poster to inform the care recipients about the site audit.

2.12 Approved provider must inform care recipients about site audit
(1) The approved provider of the relevant service must take all reasonable steps to ensure that each care recipient, or the care recipient’s representative, is made aware:
(a) that a site audit of the service is to be conducted; and
(b) of the date or dates on which the site audit is to be conducted; and
(c) that the care recipients and representatives will be given an opportunity to talk to members of the assessment team that is to conduct the site audit.

(2) For subsection (1), the reasonable steps must include, but are not limited to, the following:
(a) giving information in writing to each care recipient, and the care recipient’s representative (if any), including the form of words given to the approved provider under subparagraph 2.11(a)(iii);
(b) displaying copies of the poster given to the approved provider under paragraph 2.11(b) in one or more prominent places within the relevant service.

(3) The approved provider must take the steps mentioned in subsection (1) not less than 21 days before the first day of the site audit.
(4) However, if the CEO does not give the approved provider at least 21 days notice of the date of the site audit, the approved provider must take the steps mentioned in subsection (1) as soon as possible after being notified of the date.

2.13 Self‑assessment information
The approved provider of the relevant service must, before or during the site audit of the service, give self‑assessment information for the service to the assessment team.
Note: Self‑assessment information is defined in section 1.4.

2.14 Conducting the site audit
(1) The assessment team must conduct the site audit of the relevant service:
(a) at the premises of the service; and
(b) in accordance with any directions given to the team by the CEO of the Quality Agency.

(2) In conducting the site audit, the assessment team must:
(a) act consistently with any provisions of the Accountability Principles applying to the audit; and
(b) assess the quality of care and services provided through the service against the Accreditation Standards or Flexible Care Standards (as applicable); and
(c) consider any relevant information about the quality of care and services provided through the service that was given to the team:
(i) by a care recipient or former care recipient of the service; or
(ii) by a representative of a person mentioned in subparagraph (i) on behalf of the person; and
(d) consider any relevant information about the approved provider of the service given to the team by the Secretary; and
(e) consider any relevant information given to the team by the approved provider of the service, including the self‑assessment information given under section 2.13.

2.15 Site audit meetings
(1) The assessment team must meet the approved provider of the relevant service daily during the site audit to discuss the progress of the audit.
(2) The assessment team must also meet at least 10% of the care recipients of the service, or the care recipients’ representatives, during the site audit to discuss the care and services they are receiving.
(3) If a care recipient of the service, or a care recipient’s representative, asks to meet the assessment team during the site audit, the approved provider must allow the team to meet the care recipient or representative privately.

2.16 Report of major findings
(1) On the last day of the site audit of the relevant service, the assessment team must give the approved provider of the service a written report of matters that the team considers are the major findings of the site audit.
(2) The approved provider may, within 14 days after receiving the report, give the CEO of the Quality Agency a written response to the report.

2.17 Site audit report
(1) The assessment team must prepare a written report (the site audit report) about the site audit of the relevant service.
(2) The site audit report:
(a) must include an assessment of the approved provider’s performance, in relation to the service, against the Accreditation Standards or Flexible Care Standards (as applicable); and
(b) may also include any other matters the assessment team considers relevant.

(3) Within 14 days after the site audit is completed, the assessment team must give the CEO of the Quality Agency:
(a) the site audit report; and
(b) a copy of the report of major findings mentioned in subsection 2.16(1).
Note: The assessment team must not disclose certain information to the approved provider (see section 4.1).

Subdivision C—Decision on application for re‑accreditation
2.18 CEO must make decision on application
(1) Within 28 days after receiving the site audit report for the relevant service under subsection 2.17(3), the CEO of the Quality Agency must decide:
(a) to re‑accredit the service; or
(b) not to re‑accredit the service.

(2) However, the decision may be made by a later date agreed by the CEO and the approved provider.
(3) In making the decision, the CEO:
(a) must take into account:
(i) the site audit report for the service; and
(ii) any response given to the CEO by the approved provider under subsection 2.16(2); and
(iii) any relevant information given to the CEO, or to the assessment team that conducted the site audit, by a care recipient or former care recipient of the accredited service, or by a representative of a care recipient or former care recipient of the service; and
(iv) any relevant information about the approved provider given to the CEO by the Secretary; and
(v) whether the CEO is satisfied that the approved provider will undertake continuous improvement in relation to the service, measured against the Accreditation Standards or Flexible Care Standards (as applicable), if the service is re‑accredited; and
(b) may take into account any other relevant matter.

(4) The CEO must record, in writing, the decision on the application and the reasons for the decision.
Note 1: Requirements for notifying the approved provider of the decision are set out in Division 4.
Note 2: The approved provider may request reconsideration of a decision not to re‑accredit the service (see Part 6).

2.19 Decision to re‑accredit relevant service
(1) If the CEO of the Quality Agency decides to re‑accredit the relevant service, the CEO must decide:
(a) the further period for which the service is to be accredited; and
(b) whether there are any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(c) the arrangements for assessment contacts with the approved provider of the service.

(2) The CEO must record, in writing, the decision about the matters mentioned in subsection (1).
Note: The approved provider may request reconsideration of the further period of accreditation (see Part 6).

2.20 Decision not to re‑accredit relevant service
(1) If the CEO of the Quality Agency decides not to re‑accredit the relevant service, the CEO must decide:
(a) whether there are any areas in which improvements in relation to the service would be necessary to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(b) if the decision relates to an accredited service—the arrangements for assessment contacts with the approved provider of the service.

(2) The CEO must record, in writing, the decision about the matters mentioned in subsection (1).

2.21 Decision to revoke accreditation of accredited service
(1) This section applies if the CEO of the Quality Agency decides, under section 2.18, not to re‑accredit an accredited service.
(2) The CEO may also revoke the service’s accreditation.
(3) If the CEO decides to revoke the service’s accreditation, the CEO must decide the date on which the revocation is to take effect.
(4) The CEO must record, in writing, the decisions mentioned in subsections (2) and (3).
Note 1: Section 2.25 sets out the requirements for notifying the approved provider of the revocation decision.
Note 2: The approved provider may request reconsideration of a decision to revoke the service’s accreditation (see Part 6).

Division 4—Notification of decision on application for accreditation or re‑accreditation

2.22 Purpose of this Division
The purpose of this Division is to set out how the CEO of the Quality Agency must notify an approved provider, who has made an application under section 2.2 for accreditation, or re‑accreditation, of a residential care service or a flexible care service through which short‑term restorative care is provided, of the CEO’s decision on the application.

2.23 Notification of decision to accredit or re‑accredit service
(1) This section applies if the CEO of the Quality Agency makes a decision:
(a) to accredit a commencing service under paragraph 2.7(1)(a); or
(b) to re‑accredit an accredited service, or a previously accredited service, under paragraph 2.18(1)(a).

(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) the period of accreditation or further accreditation; and
(d) for a decision to re‑accredit a service—how the approved provider may apply for reconsideration of the further period of accreditation; and
(e) any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements; and
(f) the arrangements for assessment contacts with the approved provider of the service; and
(g) the circumstances in which a review audit of the service may be conducted; and
(h) how the approved provider may apply for re‑accreditation of the service.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must give the approved provider a certificate of accreditation for the service stating the period of accreditation or further period of accreditation.
(4) If the decision relates to an accredited service, or a previously accredited service, the CEO must give the approved provider a copy of the site audit report.
Note: Section 4.1 prohibits the disclosure of certain information to the approved provider.

(5) The CEO must comply with subsection (2) and, if applicable, subsection (4) within 14 days after making the decision.

2.24 Notification of decision not to accredit or not to re‑accredit service
(1) This section applies if the CEO of the Quality Agency makes a decision:
(a) not to accredit a commencing service under paragraph 2.7(1)(b); or
(b) not to re‑accredit an accredited service, or a previously accredited service, under paragraph 2.18(1)(b).

(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) any areas in which improvements in relation to the service would be necessary to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(d) if the decision relates to an accredited service—the arrangements for assessment contacts with the approved provider of the service; and
(e) how the approved provider may apply for reconsideration of the decision.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must give the approved provider a copy of any information given to the CEO by the Secretary that was taken into account in making the decision.
(4) If the decision relates to an accredited service, or a previously accredited service, the CEO must give the approved provider a copy of the site audit report.
Note: Section 4.1 prohibits the disclosure of certain information to the approved provider.

(5) The CEO must comply with this section within 14 days after making the decision.

2.25 Notification of decision to revoke accreditation of accredited service
(1) This section applies if the CEO of the Quality Agency makes a decision under subsection 2.21(2) to revoke an accredited service’s accreditation.
(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) the date the revocation is to take effect; and
(d) any areas in which improvements in relation to the service would be necessary to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(e) the arrangements for assessment contacts with the approved provider of the service; and
(f) how the approved provider may apply for reconsideration of the decision.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must comply with this section within 14 days after making the decision.

Division 5—Publication of decisions

2.26 CEO must publish accreditation decisions
(1) This section applies to the following decisions made by the CEO of the Quality Agency:
(a) a decision, under subsection 2.7(1), to accredit or not to accredit a commencing service;
(b) a decision, under subsection 2.18(1), to re‑accredit or not to re‑accredit an accredited service, or a previously accredited service;
(c) a decision, under subsection 2.21(2) to revoke the accreditation of an accredited service.

(2) The CEO must, as soon as practicable after making a decision mentioned in subsection (1) (other than a decision that is subject to reconsideration under Part 6), publish on the Quality Agency’s website:
(a) the decision; and
(b) any site audit report considered in making the decision.

(3) If:
(a) a decision mentioned in subsection (1) is subject to reconsideration under Part 6; and
(b) no request for reconsideration of the decision has been made within the period mentioned in paragraph 2.67(2)(c);

the CEO must, within 28 days after the last day when a request for reconsideration of the decision could have been made under section 2.67, publish on the Quality Agency’s website:
(c) the decision; and
(d) any site audit report considered in making the decision.
Note: If a request for reconsideration of the decision is made, the reconsideration decision must be published under section 2.71.

(4) However, the CEO must not disclose (whether by publishing or otherwise making available) protected information unless the disclosure is authorised under Part 7 of the Quality Agency Act.
Note: Protected information is defined in section 3 of the Quality Agency Act.

Part 2—Monitoring of accredited services

Division 1—Preliminary

2.27 Purpose of this Part
The purpose of this Part is to set out the responsibilities, in relation to an accredited service, of:
(a) the CEO of the Quality Agency; and
(b) the approved provider of the service.

Division 2—Continuous improvement

2.28 Approved provider must have plan for continuous improvement
The approved provider of an accredited service must have a written plan (a plan for continuous improvement) that explains how the approved provider will comply with its obligations of continuous improvement in relation to the service:
(a) under the Accreditation Standards or Flexible Care Standards (as applicable); and
(b) in relation to any areas identified by the CEO of the Quality Agency as areas in which improvements in relation to the service are needed to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with.
Note: The approved provider must revise the plan for continuous improvement if the CEO finds that the approved provider has failed to comply with the Accreditation Standards or Flexible Care Standards (as applicable) (see section 2.63).

2.29 Approved provider must make plan available to CEO and assessment teams
(1) The approved provider of an accredited service must, on request by the CEO of the Quality Agency, make a copy of the plan for continuous improvement for the service available to the CEO.
(2) If:
(a) an assessment team is conducting a site audit or a review audit of an accredited service; and
(b) the team requests the approved provider of the service to make a copy of the plan for continuous improvement for the service available to the team;

the approved provider must do so.

Division 3—Assessment contacts

2.30 Meaning of assessment contact for an accredited service
In these principles, an assessment contact for an accredited service is any form of contact (other than a site audit or a review audit) between:
(a) the CEO of the Quality Agency or a quality assessor; and
(b) the approved provider of the service;

for one or more of the following purposes:
(c) to assess the approved provider’s performance, in relation to the service, against the Accreditation Standards or Flexible Care Standards (as applicable);
(d) to assist the approved provider’s process of continuous improvement in relation to the service;
(e) to identify whether there is a need for a review audit of the service;
(f) to give the approved provider additional information or education about the accreditation process and requirements.

2.30A Assessment contacts for certain accredited services with the same approved provider
If a residential care service and a flexible care service through which short‑term restorative care is provided in a residential care setting have the same approved provider, the CEO of the Quality Agency may, if he or she considers it appropriate to do so, perform an assessment contact for both services at the same time.

2.31 CEO may vary arrangements for assessment contacts
(1) The CEO of the Quality Agency may vary the arrangements for assessment contacts notified to the approved provider of an accredited service under these principles.
Note 1: The CEO is required to decide the arrangements for assessment contacts with the approved provider of a service when deciding whether to accredit or re‑accredit the service (see sections 2.8, 2.19 and 2.20) or after a review audit of the service (see sections 2.43 and 2.44).
Note 2: Assessment contact is defined in section 1.4.

(2) If the CEO varies the arrangements for assessment contacts under subsection (1), the CEO must notify the approved provider, in writing, of the new arrangements.

2.32 Informing care recipients of assessment contact in the form of visit to service
If an assessment contact notified to the approved provider of an accredited service under these principles is to be made in the form of a visit to the premises of the service:
(a) the CEO must, before making the visit, give the approved provider a poster to inform the care recipients of the service about the assessment contact; and
(b) the approved provider must, as soon as practicable after receiving the poster, display it in one or more prominent places within the service.

2.33 Additional assessment contacts
Assessment contacts with the approved provider of an accredited service may be made, without notice, in addition to the assessment contacts notified to the approved provider under these principles.

2.34 Action following assessment contact
Within 21 days after making an assessment contact (including an assessment contact made under section 2.33) with the approved provider of an accredited service, the CEO of the Quality Agency must notify the approved provider, in writing, of:
(a) any variations to the arrangements for future assessment contacts notified to the approved provider under these principles; and
(b) any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements.

Division 4—Review audit

2.35 When a review audit is to be conducted
(1) The CEO of the Quality Agency may arrange for a review audit of an accredited service to be conducted if:
(a) the CEO considers, on reasonable grounds, that the approved provider of the service may not be complying with the Accreditation Standards or Flexible Care Standards (as applicable) or the approved provider’s other responsibilities under the Aged Care Act in relation to the service; or
(b) there has been a change that the approved provider is required to notify the Secretary of under section 9‑1 of the Aged Care Act; or
(c) there has been a transfer of allocated places in relation to the service under section 16‑1 of the Aged Care Act; or
(d) the premises at which the service is conducted have changed since the service was accredited; or
(e) the approved provider of the service has not complied with the arrangements made for assessment contacts; or
(f) the approved provider of the service has requested reconsideration of a decision mentioned in item 2, 3, 4 or 5 of the table in section 2.66.
Note: Section 9‑1 of the Aged Care Act requires an approved provider to notify the Secretary of any of the following:
(a) a change of circumstances that materially affects the approved provider’s suitability to be a provider of aged care;
(b) a change to any of the approved provider’s key personnel.

(2) The CEO must arrange for a review audit of an accredited service to be conducted if the Secretary requests the CEO to do so.

2.36 Appointment of assessment team
(1) This section and sections 2.37 to 2.41 apply if the CEO of the Quality Agency:
(a) decides, under subsection 2.35(1), to arrange for a review audit of an accredited service to be conducted; or
(b) is required, under subsection 2.35(2), to arrange for a review audit of an accredited service to be conducted.

(2) The CEO must appoint an assessment team to conduct the review audit.
Note: Part 4 deals with the appointment of assessment teams.

2.37 Informing care recipients of review audit
(1) The CEO of the Quality Agency, or the assessment team appointed to conduct the review audit of the accredited service, must give the approved provider of the service a poster to inform the care recipients of the service about the review audit.
(2) The approved provider must, as soon as practicable, display the poster in one or more prominent places within the service.

2.38 Conducting the review audit
(1) The assessment team must conduct the review audit of the accredited service:
(a) at the premises of the service; and
(b) in accordance with any directions given to the team by the CEO of the Quality Agency.

(2) In conducting the review audit, the assessment team must:
(a) act consistently with any provisions of the Accountability Principles applying to the audit; and
(b) assess the quality of care and services provided through the service against the Accreditation Standards or Flexible Care Standards (as applicable); and
(c) consider any relevant information about the quality of care or services provided through the service that was given to the team:
(i) by a care recipient or former care recipient of the service; or
(ii) by a representative of a person mentioned in subparagraph (i) on behalf of the person; and
(d) consider any relevant information about the approved provider given to the team by the Secretary; and
(e) consider any relevant information given to the team by the approved provider.
Note: The assessment team must not disclose certain information to the approved provider (see section 4.1).

2.39 Review audit meetings
(1) The assessment team must meet the approved provider of the accredited service daily during the review audit to discuss the progress of the audit.
(2) The assessment team must also meet at least 10% of the care recipients of the accredited service, or the care recipients’ representatives, during the review audit to discuss the care and services they are receiving.
(3) If a care recipient of the service, or a care recipient’s representative, asks to meet the assessment team during the review audit, the approved provider must allow the team to meet the care recipient or representative privately.

2.40 Report of major findings
(1) On the last day of the review audit of the accredited service, the assessment team must give the approved provider of the service a written report of matters that the team considers are the major findings of the review audit.
(2) The approved provider may, within 7 days after receiving the report, give the CEO of the Quality Agency a written response to the report.

2.41 Review audit report
(1) The assessment team must prepare a written report (the review audit report) about the review audit of the accredited service.
(2) The review audit report:
(a) must include an assessment of the approved provider’s performance, in relation to the service, against the Accreditation Standards or Flexible Care Standards (as applicable); and
(b) may also include any other matters the assessment team considers relevant.

(3) Within 7 days after the review audit is completed, the assessment team must:
(a) give the following to the CEO of the Quality Agency:
(i) the review audit report;
(ii) a copy of the report of major findings mentioned in subsection 2.40(1); and
(b) give a copy of the review audit report to the approved provider of the service.
Note: The assessment team must not disclose certain information to the approved provider (see section 4.1).

Division 5—Decision following review audit

2.42 CEO must make decision about accreditation of service after receiving review audit report
(1) Within 14 days after receiving a review audit report about an accredited service, the CEO of the Quality Agency must:
(a) decide:
(i) to revoke the accreditation of the service from a specified date; or
(ii) not to revoke the accreditation of the service; and
(b) if the CEO decides not to revoke the service’s accreditation—decide whether to vary the period for which the service is accredited.

(2) In making the decisions mentioned in subsection (1), the CEO:
(a) must take into account:
(i) the review audit report; and
(ii) any response given to the CEO by the approved provider under subsection 2.40(2); and
(iii) any relevant information given to the CEO, or to the assessment team that conducted the review audit, by a care recipient or former care recipient of the accredited service, or by a representative of a care recipient or former care recipient; and
(iv) any relevant information about the approved provider given to the CEO by the Secretary; and
(v) whether the CEO is satisfied that the approved provider will undertake continuous improvement in relation to the service, measured against the Accreditation Standards or Flexible Care Standards (as applicable), if the service’s accreditation is not revoked; and
(b) may take into account any other relevant matter.

(3) The CEO must record, in writing, the decisions made under subsection (1) and the reasons for the decisions.
Note 1: Requirements for notifying the approved provider of the decisions are set out in Division 6.
Note 2: The approved provider may request reconsideration of a decision to revoke the service’s accreditation or vary the period of the service’s accreditation (see Part 6).

2.43 Decision to revoke accreditation of service
(1) If the CEO of the Quality Agency decides under subparagraph 2.42(1)(a)(i) to revoke the accreditation of an accredited service, the CEO must decide:
(a) whether there are any areas in which improvements in relation to the service would be necessary to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and

(b) the arrangements for assessment contacts with the approved provider of the service.

(2) The CEO must record, in writing, the decision about the matters mentioned in subsection (1).

2.44 Decision not to revoke accreditation of service
(1) If the CEO of the Quality Agency decides under subparagraph 2.42(1)(a)(ii) not to revoke the accreditation of an accredited service, the CEO must decide:
(a) whether there are any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements; and
(b) the arrangements for assessment contacts with the approved provider of the service.

(2) The CEO must record, in writing, the decision about the matters mentioned in subsection (1).
(3) Subsection (1) applies whether or not the CEO decides to vary the period of accreditation of the service under paragraph 2.42(1)(b).

Division 6—Notification of decision following review audit

2.45 Notification of decision to revoke accreditation of service
(1) This section applies if the CEO of the Quality Agency makes a decision to revoke the accreditation of an accredited service under subparagraph 2.42(1)(a)(i).
(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) the date on which the revocation is to take effect; and
(d) the areas in which improvements in relation to the service would be necessary to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with; and
(e) the arrangements for assessment contacts with the approved provider of the service; and
(f) how the approved provider may apply for reconsideration of the decision.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must comply with this section within 14 days after the CEO receives the review audit report about the service.

2.46 Notification of decision not to revoke accreditation of service and not to vary accreditation period
(1) This section applies if the CEO of the Quality Agency makes a decision under subsection 2.42(1):
(a) not to revoke the accreditation of an accredited service; and
(b) not to vary the period of accreditation of the service.

(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) any areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements; and
(d) the arrangements for assessment contacts with the approved provider of the service.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must comply with this section within 14 days after receiving the review audit report about the service.

2.47 Notification of decision not to revoke accreditation of service and to vary accreditation period
(1) This section applies if the CEO of the Quality Agency makes a decision under subsection 2.42(1):
(a) not to revoke the accreditation of an accredited service; and
(b) to vary the period of accreditation of the service.

(2) The CEO must notify the approved provider of the service, in writing, of:
(a) the decision; and
(b) the reasons for the decision; and
(c) the date on which the service’s accreditation will cease; and
(d) the areas in which improvements in relation to the service must be made to ensure that the Accreditation Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements; and
(e) the arrangements for assessment contacts with the approved provider of the service; and
(f) how the accredited provider may apply for reconsideration of the decision to vary the period of accreditation of the service.
Note: The CEO must also notify the Secretary of the decision (see the Quality Agency Reporting Principles).

(3) The CEO must give the approved provider a new certificate of accreditation for the service stating the new period of accreditation.
(4) The CEO must comply with subsection (2) within 14 days after the CEO receives the review audit report about the service.

Division 7—Publication of decisions

2.48 CEO must publish certain decisions made under this Part
(1) This section applies to the following decisions made by the CEO of the Quality Agency:
(a) a decision, under subparagraph 2.42(1)(a)(i), to revoke the accreditation of an accredited service;
(b) a decision, under subparagraph 2.42(1)(a)(ii), not to revoke the accreditation of an accredited service;
(c) a decision, under paragraph 2.42(1)(b), to vary the period of accreditation of an accredited service.

(2) The CEO must, as soon as soon as practicable after making a decision mentioned in subsection (1) (other than a decision that is subject to reconsideration under Part 6), publish on the Quality Agency’s website:
(a) the decision; and
(b) any review audit report considered in making the decision.

(3) If:
(a) a decision mentioned in subsection (1) is subject to reconsideration under Part 6; and
(b) no request for reconsideration of the decision has been made within the period mentioned in paragraph 2.67(2)(c);

the CEO must, within 28 days after the last day when a request for reconsideration of the decision could have been made under section 2.67, publish on the Quality Agency’s website:
(c) the decision; and
(d) any review audit report considered in making the decision.
Note: If a request for reconsideration of the decision is made, the reconsideration decision must be published under section 2.71.

(4) However, the CEO must not disclose (whether by publishing or otherwise making available) protected information unless the disclosure is authorised under Part 7 of the Quality Agency Act.
Note: Protected information is defined in section 3 of the Quality Agency Act.

Part 3—Registration of quality assessors

2.49 Purpose of this Part
The purpose of this Part is to provide for the registration of persons as quality assessors.
Note 1: See paragraph 12(c) of the Quality Agency Act.
Note 2: Only persons who are registered as quality assessors may be appointed to assessment teams (see section 2.58).

2.50 Application for registration as quality assessor
(1) A person who is not a quality assessor (including a person who was, but is no longer, a quality assessor) may apply to the CEO of the Quality Agency to be registered as a quality assessor.
Note: Section 2.52 applies in relation to a person who is a quality assessor and who wishes to be registered as a quality assessor for a further period.

(2) An application under subsection (1) must:
(a) be in writing; and
(b) be in a form approved by the CEO of the Quality Agency; and
(c) if the applicant has been, at any time after turning 16, a citizen or permanent resident of a country other than Australia—be accompanied by a statutory declaration that the applicant has never been:
(i) convicted of murder or sexual assault; or
(ii) convicted of, and sentenced to imprisonment for, any other form of assault; and
(d) be accompanied by any other information or documents specified by the approved form; and
(e) be accompanied by the applicable application fee.
Note: Paragraph (2)(c) is subject to Part VIIC of the Crimes Act 1914 (which deals with spent convictions) (see section 2.56).

(3) The application fee for an application under subsection (1) is:
(a) if the application is made in the financial year beginning on 1 July 2013—$600; or
(b) if the application is made in a later financial year—the amount applying in that financial year, worked out in accordance with section 2.73.

2.51 Decision on application for registration
(1) If a person makes an application that complies with subsection 2.50(2), the CEO of the Quality Agency must register the person as a quality assessor if the CEO is satisfied that:
(a) the person has successfully completed a course about aged care quality assessment approved by the CEO; and
(b) the person has participated in an orientation program delivered by the Quality Agency; and
(c) a police certificate, issued for the person after the application was made, does not record that the person has been:
(i) convicted of murder or sexual assault; or
(ii) convicted of, and sentenced to imprisonment for, any other form of assault; and
(d) the person has fulfilled any other registration requirements published by the CEO on the Quality Agency’s website.

(2) The CEO must refuse to register the person as a quality assessor if the CEO is not satisfied of the matters mentioned in subsection (1).
(3) If the CEO decides to register the person as a quality assessor, the CEO must register the person as a quality assessor for 1 year.
(4) The CEO must notify the person, in writing, of:
(a) the CEO’s decision under subsection (1) or (2); and
(b) the reasons for the decision.

(5) If the decision is to register the person as a quality assessor, the notice under subsection (4) must also state:
(a) the date when the person’s registration will expire; and
(b) the person’s obligations as a quality assessor.

2.52 Application for registration for further period
(1) A person who is a quality assessor may apply to the CEO of the Quality Agency to be registered as a quality assessor for a further period.
Note: Section 2.50 applies in relation to a person who is not a quality assessor (including a person who was, but is no longer, a quality assessor) and who wishes to be registered as a quality assessor.

(2) An application under subsection (1) must:
(a) be in writing; and
(b) be made not later than 1 month before the person’s registration as a quality assessor will cease; and
(c) be accompanied by evidence that the person has completed:
(i) any mandatory training required by the CEO; and
(ii) not less than 15 hours professional development approved by the CEO, including any training mentioned in subparagraph (i); and
(d) be accompanied by evidence of all relevant audit experience undertaken by the person as a quality assessor; and
(e) be accompanied by the applicable application fee.

(3) The application fee for an application under subsection (1) is:
(a) if the application is made in the financial year beginning on 1 July 2013—$300; or
(b) if the application is made in a later financial year—the amount applying in that financial year, worked out in accordance with section 2.73.

2.53 Decision on application for further registration
(1) If a person makes an application that complies with subsection 2.52(2), the CEO of the Quality Agency must register the person as a quality assessor for a further period of 1 year if the CEO is satisfied that:
(a) the person has complied with the person’s obligations notified to the person under paragraph 2.51(5)(b); and
(b) the person has completed:
(i) any mandatory training required by the CEO; and
(ii) not less than 15 hours professional development approved by the CEO, including any training mentioned in subparagraph (i); and
(c) the person’s performance, in relation to any site audits or review audits conducted by the person during the person’s most recent period of registration as a quality assessor, has been satisfactory; and
(d) a police certificate, issued for the person not more than 2 years before the end of the person’s current registration as a quality assessor, does not record that the person has been:
(i) convicted of murder or sexual assault; or
(ii) convicted of, and sentenced to imprisonment for, any other form of assault.

(2) The CEO must refuse to register the person as a quality assessor for a further period if the CEO is not satisfied of the matters mentioned in subsection (1).
(3) The CEO must notify the person, in writing, of:
(a) the CEO’s decision under subsection (1) or (2); and
(b) the reasons for the decision.

(4) If the decision is to register the person as a quality assessor, the notice under subsection (3) must also state:
(a) the date when the person’s registration will expire; and
(b) the person’s obligations as a quality assessor.

2.54 Quality assessor must inform CEO if convicted of serious offence
If, during the period in which a person is registered as a quality assessor, the person:
(a) is convicted of murder or sexual assault; or
(b) is convicted of, and sentenced to imprisonment for, any other form of assault;

the person must, as soon as practicable after the conviction is recorded, inform the CEO of the Quality Agency, in writing, of the conviction.

2.55 Cancellation of registration as quality assessor
(1) The CEO of the Quality Agency must cancel the registration of a person as a quality assessor if the CEO is satisfied that a statutory declaration made by the person, or a police certificate, states that the person has been:
(a) convicted of murder or sexual assault; or
(b) convicted of, and sentenced to imprisonment for, any other form of assault.

(2) The CEO of the Quality Agency may cancel the registration of a person as a quality assessor if the CEO is satisfied that:
(a) the person’s performance in conducting site audits or a review audits has not been satisfactory; or
(b) the person has failed to comply with the person’s obligations as a quality assessor.

(3) If the CEO cancels a person’s registration as a quality assessor under subsection (1) or (2), the CEO must notify the person, in writing, of:
(a) the cancellation of the registration; and
(b) the reasons for the cancellation.
Note: The person may request reconsideration of a decision to cancel the person’s registration as a quality assessor (see Part 6).

2.56 Spent convictions
Nothing in this Part affects the operation of Part VIIC of the Crimes Act 1914 (which includes provisions that, in certain circumstances, relieve persons from the requirement to disclose spent convictions and require persons aware of such convictions to disregard them).

Part 4—Assessment teams

2.57 Purpose of this Part
The purpose of this Part is to set out:
(a) how assessment teams for site audits and review audits are appointed; and
(b) the process for:
(i) objecting to the appointment of a person to an assessment team; and
(ii) appointing replacement members to an assessment team.

2.58 Eligibility for appointment to assessment team
(1) The CEO of the Quality Agency may appoint a person to an assessment team only if the person:
(a) is a quality assessor; and
(b) will be available to complete the audit that is to be conducted by the team.
Note: A quality assessor is a person who is registered as a quality assessor in accordance with Part 3 of this Chapter (see the definition of quality assessor in section 3 of the Quality Agency Act).

(2) The CEO must not appoint a person to an assessment team for a site audit or a review audit of a residential care service or a flexible care service through which short‑term restorative care is provided if:
(a) in the 3 years before the proposed appointment, the person:
(i) was employed by the approved provider of the service; or
(ii) provided services to the approved provider of the service; or
(b) the person has a pecuniary or other interest that could conflict with a proper audit of the service.

2.59 Appointment of assessment team
(1) If the CEO of the Quality Agency is required under section 2.10 to appoint an assessment team to conduct a site audit of a residential care service or a flexible care service through which short‑term restorative care is provided, the CEO must appoint one or more persons to form the team.
Example: The CEO may decide to appoint a team consisting of only one member if the service is a small service.

(2) If the CEO is required under section 2.36 to appoint an assessment team to conduct a review audit of a residential care service or a flexible care service through which short‑term restorative care is provided, the CEO must appoint 2 or more persons to form the team.

2.60 Replacement of assessment team member
(1) If a member of an assessment team becomes unavailable to conduct the relevant audit, the CEO may replace the member by appointing another person to the team.
Note: The other person must be eligible to be appointed to the team under section 2.58.

(2) However, if the assessment team was appointed to conduct a review audit, and only 2 persons were appointed to the team, the CEO must appoint another person to the team.
Note: This is to ensure that an assessment team for a review audit always has at least 2 members.

(3) If the CEO appoints another person to an assessment team under subsection (1) or (2), the CEO must, as soon as practicable after appointing the person, notify the approved provider of the service that is to be audited of the full name of the person.

2.61 Objection to appointment of assessment team member for site audit
(1) This section applies to an assessment team that has been appointed to conduct a site audit of a residential care service or a flexible care service through which short‑term restorative care is provided.
(2) The approved provider of the service may object to the appointment of a person, under subsection 2.59(1), to the assessment team if the approved provider considers that the person is not eligible for appointment under section 2.58.
Note: The approved provider cannot object to a replacement team member appointed under subsection (5) or section 2.60.

(3) The approved provider must make the objection, in writing, to the CEO of the Quality Agency within 14 days after the approved provider is notified of the full name of the person under subparagraph 2.11(a)(ii).
(4) If an objection is made in accordance with subsection (3), the CEO must decide:
(a) to accept the objection and remove the person from the assessment team; or
(b) to reject the objection.

(5) If the CEO removes a person from an assessment team following an objection made in accordance with subsection (3), the CEO may appoint another person to the assessment team to replace the removed person.
Note: The other person must be eligible to be appointed to the team under section 2.58.

(6) Within 7 days after receiving an objection made by an approved provider in accordance with subsection (3), the CEO must notify the approved provider, in writing, of:
(a) the decision on the objection; and
(b) if the objection is accepted and another person is appointed to the assessment team under subsection (5)—the full name of the other person.
Note: The approved provider may seek reconsideration of a decision to reject an objection (see Part 6).

Part 5—Dealing with non‑compliance by approved provider

2.62 Purpose of this Part
The purpose of this Part is to set out how the CEO of the Quality Agency is to deal with a failure by an approved provider of an accredited service to comply with the Accreditation Standards or Flexible Care Standards (as applicable).
Note: Paragraph 54‑1(1)(d) of the Aged Care Act requires an approved provider of a residential care service to comply with the Accreditation Standards and paragraph 54‑1(1)(g) of that Act requires an approved provider of a flexible care service to comply with any Flexible Care Standards that apply to the service.

2.63 Failure to comply with Accreditation Standards or Flexible Care Standards
(1) This section applies if the CEO of the Quality Agency finds that an approved provider of an accredited service has failed to meet one or more expected outcomes in the Accreditation Standards in relation to the service or the Flexible Care Standards that apply to the service.
(2) As soon as practicable after making the finding, the CEO must:

3.12 Approved provider must have plan for continuous improvement
The approved provider of a relevant home care service must have a written plan (a plan for continuous improvement) that explains how the approved provider will comply with its obligations of continuous improvement in relation to the service:
(a) under the Home Care Standards or Flexible Care Standards (as applicable); and
(b) in relation to any areas identified by the CEO of the Quality Agency (including in a final quality review report) as areas in which improvements in relation to the service are needed to ensure that the Home Care Standards or Flexible Care Standards (as applicable) are complied with.
Note: The approved provider must revise the plan for continuous improvement if the CEO finds that the approved provider has failed to comply with the Home Care Standards or Flexible Care Standards (as applicable) (see sections 3.11 and 3.18).

3.13 Approved provider must make plan available to CEO on request
(1) The approved provider of a relevant home care service must, on request by the CEO of the Quality Agency, make a copy of the plan for continuous improvement for the service available to the CEO.
(2) If:
(a) a site visit is being conducted in relation to a relevant home care service; and
(b) a quality reviewer requests the approved provider of the service to make a copy of the plan for continuous improvement for the service available to the quality reviewer;

the approved provider must do so.

Part 3—Assessment contacts

3.14 Meaning of assessment contact for home care services and certain flexible care services
In these principles, an assessment contact for a home care service, or a flexible care service through which short‑term restorative care is provided in a home care setting, is any form of contact (other than a site visit under Division 2 of Part 2) between:
(a) the CEO of the Quality Agency; and
(b) the approved provider of the service;

for one or more of the following purposes:
(c) to assess the approved provider’s performance, in relation to the service, against the Home Care Standards or Flexible Care Standards (as applicable);
(d) to assist the approved provider’s process of continuous improvement in relation to the service;
(e) to identify whether there is a need for a quality review of the service;
(f) to give the approved provider additional information or education about the quality review process and requirements.

3.15 Assessment contacts may be made at any time
(1) The CEO of the Quality Agency may make an assessment contact with the approved provider of a relevant home care service at any time.
(2) If an assessment contact is to be made in the form of a visit to a site where home care is provided through the service, the CEO must, at least 14 days before the proposed visit, notify the approved provider of the service, in writing, of:
(a) the date or dates on which the visit is to be made; and
(b) the form of words to be used to tell care recipients of the service about the visit.

3.15A Assessment contacts for certain relevant care services with the same approved provider
If a home care service and a flexible care service through which short‑term restorative care is provided in a home care setting have the same approved provider, the CEO of the Quality Agency may, if he or she considers it appropriate to do so, perform an assessment contact for both services at the same time.

3.16 Action following assessment contact
Within 21 days after making an assessment contact with the approved provider of a relevant home care service, the CEO of the Quality Agency must notify the approved provider, in writing, of any areas in which improvements in relation to the service must be made to ensure that the Home Care Standards or Flexible Care Standards (as applicable) are complied with, and the timetable for making the improvements.

Part 4—Dealing with non‑compliance by approved provider

3.17 Purpose of this Part
The purpose of this Part is to set out how the CEO of the Quality Agency is to deal with a failure by an approved provider of a relevant home care service to comply with the Home Care Standards or Flexible Care Standards (as applicable).
Note: Paragraph 54‑1(1)(f) of the Aged Care Act requires an approved provider of a home care service to comply with the Home Care Standards and paragraph 54‑1(1)(g) of that Act requires an approved provider of a flexible care service to comply with any Flexible Care Standards that apply to the service.

3.18 Failure to comply with Home Care Standards or Flexible Care Standards
(1) This section applies if the CEO of the Quality Agency finds that:
(a) an approved provider of a home care service has failed to meet one or more expected outcomes in the Home Care Standards in relation to the service; or
(b) an approved provider of a flexible care service through which short‑term restorative care is provided in a home care setting has failed to meet one or more expected outcomes in the Flexible Care Standards that apply to the service.

(2) As soon as practicable after making the finding, the CEO must:
(a) decide whether the failure has placed, or may place, the safety, health or wellbeing of a care recipient of the service at serious risk; and
(b) if the CEO decides that the failure has placed, or may place, the safety, health or wellbeing of a care recipient of the service at serious risk—give the approved provider of the service, in writing:
(i) specific information about the reason for the risk; and
(ii) evidence of the risk; and
(iii) a statement of any other expected outcome in the Home Care Standards or Flexible Care Standards (as applicable) that the approved provider may have failed to meet.
Note: The CEO must also notify the Secretary about the risk (see the Quality Agency Reporting Principles).

(3) The CEO must also give the approved provider a written notice:
(a) about the failure to meet the relevant expected outcomes in the Home Care Standards or Flexible Care Standards (as applicable); and
(b) directing the approved provider to revise the plan for continuous improvement for the service to demonstrate how the approved provider will comply with the Home Care Standards or Flexible Care Standards (as applicable) in relation to the service.

(4) The approved provider must revise the plan for continuous improvement for the service in accordance with the direction mentioned in paragraph (3)(b) within 14 days after receiving the notice mentioned in subsection (3).
(5) The approved provider must, on request by the CEO, make a copy of the revised plan for continuous improvement for the service available to the CEO.

3.19 Action if improvements not satisfactory
(1) This section applies if:
(a) the approved provider of a relevant home care service has been given a timetable for making improvements in relation to the service under subsection 3.11(2); and
(b) at the end of the period set out in the timetable, or any extension of that period, the CEO of the Quality Agency is not satisfied that the level of care and services provided through the service complies with the Home Care Standards or Flexible Care Standards (as applicable).

(2) The CEO must give the approved provider:
(a) a written notice setting out:
(i) the reasons why the CEO is not satisfied of the matters mentioned in paragraph (1)(b); and
(ii) details of the evidence relied on by the CEO to support this finding; and
(b) a copy of any other relevant information.
Note: The CEO must also give the Secretary the information mentioned in this subsection (see the Quality Agency Reporting Principles).

(3) The CEO must comply with subsection (2):
(a) as soon as practicable, but not later than 14 days, after the end of the period set out in the timetable; and
(b) if that period was extended—as soon as practicable, but not later than 14 days, after the end of each period of extension.

Chapter 4—Other matters

Part 1—Protection of information

4.1 Identifying information must not be disclosed to approved provider
(1) An entrusted person must not disclose identifying information to an approved provider of a residential care service, a home care service or a flexible care service through which short‑term restorative care is provided.
Note: Entrusted person and identifying information are defined in section 1.4.

(2) However, subsection (1) does not apply if:
(a) the person who provided the identifying information to the entrusted person consents to the disclosure of the information; or
(b) not disclosing the identifying information would place the safety, health or wellbeing of a care recipient of the service at risk.

(3) If an entrusted person proposes to disclose identifying information to an approved provider of a residential care service, a home care service or a flexible care service through which short‑term restorative care is provided, the entrusted person must, before disclosing the information, take all reasonable steps to notify the person who provided the information about the proposed disclosure.

Part 2—Fees

4.2 Purpose of this Part
The purpose of this Part is to provide for the CEO to charge fees for services provided by the CEO in performing functions under paragraph 12(e) or (f) of the Quality Agency Act.
Note 1:       The CEO’s function under paragraph 12(e) of the Quality Agency Act is to promote high quality care, innovation in quality management and continuous improvement amongst approved providers of aged care.
Note 2:       The CEO’s function under paragraph 12(f) of the Quality Agency Act is to provide information, education and training to approved providers of aged care in accordance with the Quality Agency Principles.
Note 3:       A fee charged under these principles must not be such as to amount to taxation (see subsection 15(2) of the Quality Agency Act).

4.3 Fees for materials
(1) The CEO of the Quality Agency may charge fees for providing manuals, documents or other items relating to the performance of a function under paragraph 12(e) or (f) of the Quality Agency Act.
(2) The fee that may be charged for providing a manual, document or other item must not be more than the cost of obtaining and providing the manual, document or other item.

4.4 Fees for seminars or conferences
(1) The CEO of the Quality Agency may charge fees for arranging or presenting seminars or conferences relating to the performance of a function under paragraph 12(e) or (f) of the Quality Agency Act.
(2) The fee that may be charged for arranging or presenting a seminar or conference must not be more than the cost of arranging or presenting the seminar or conference, less any cost that is covered by a fee charged under section 4.3.
(3) Subsection (2) does not require the CEO to charge a fee, or the same fee, for every person attending the seminar or conference.
(4) Subsection (1) does not prevent the CEO from charging a fee under section 4.3 for providing manuals, documents or other items relating to a seminar or conference.

Chapter 5—Transitional provisions

Part 1—Transitional provisions relating to the Aged Care Legislation Amendment (Short‑term Restorative Care) Principles 2016

5.1 Flexible care services taken to be accredited services
(1) This section applies in relation to a flexible care service through which short‑term restorative care is provided if the short‑term restorative care is provided in a facility where residential care is provided through a residential care service (the relevant residential care service).
(2) If, on the day the approved provider is allocated flexible care places under Division 14 of the Aged Care Act for the flexible care service, the relevant residential care service is an accredited service for a particular period, the flexible care service is taken to be an accredited service on and from that day until the end of that period.
(3) If the relevant residential care service is re‑accredited for a particular period, the flexible care service is taken to be an accredited service on and from the commencement of that period until the end of that period.

5.2 Flexible care services taken to be previously accredited services
(1) This section applies in relation to a flexible care service through which short‑term restorative care is provided if the short‑term restorative care is provided in a facility where residential care is provided through a residential care service (the relevant residential care service).
(2) If, on the day the approved provider is allocated flexible care places under Division 14 of the Aged Care Act for the flexible care service, the relevant residential care service is a previously accredited service, the flexible care service is taken to be a previously accredited service on and from that day until the flexible care service is accredited under these principles.

Endnotes

Endnote 1—About the endnotes

The endnotes provide information about this compilation and the compiled law.

The following endnotes are included in every compilation:

Endnote 1—About the endnotes
Endnote 2—Abbreviation key
Endnote 3—Legislation history

Endnote 4—Amendment history

Abbreviation key—Endnote 2

The abbreviation key sets out abbreviations that may be used in the endnotes.

Legislation history and amendment history—Endnotes 3 and 4

Amending laws are annotated in the legislation history and amendment history.

The legislation history in endnote 3 provides information about each law that has amended (or will amend) the compiled law. The information includes commencement details for amending laws and details of any application, saving or transitional provisions that are not included in this compilation.

The amendment history in endnote 4 provides information about amendments at the provision (generally section or equivalent) level. It also includes information about any provision of the compiled law that has been repealed in accordance with a provision of the law.

Editorial changes

The Legislation Act 2003 authorises First Parliamentary Counsel to make editorial and presentational changes to a compiled law in preparing a compilation of the law for registration. The changes must not change the effect of the law. Editorial changes take effect from the compilation registration date.

If the compilation includes editorial changes, the endnotes include a brief outline of the changes in general terms. Full details of any changes can be obtained from the Office of Parliamentary Counsel.

Misdescribed amendments

A misdescribed amendment is an amendment that does not accurately describe the amendment to be made. If, despite the misdescription, the amendment can be given effect as intended, the amendment is incorporated into the compiled law and the abbreviation “(md)” added to the details of the amendment included in the amendment history.

If a misdescribed amendment cannot be given effect as intended, the abbreviation “(md not incorp)” is added to the details of the amendment included in the amendment history.

Endnote 2—Abbreviation key

ad = added or inserted	o = order(s)
am = amended	Ord = Ordinance
amdt = amendment	orig = original
c = clause(s)	par = paragraph(s)/subparagraph(s)
C[x] = Compilation No. x	/sub‑subparagraph(s)
Ch = Chapter(s)	pres = present
def = definition(s)	prev = previous
Dict = Dictionary	(prev…) = previously
disallowed = disallowed by Parliament	Pt = Part(s)
Div = Division(s)	r = regulation(s)/rule(s)
ed = editorial change	reloc = relocated
exp = expires/expired or ceases/ceased to have	renum = renumbered
effect	rep = repealed
F = Federal Register of Legislation	rs = repealed and substituted
gaz = gazette	s = section(s)/subsection(s)
LA = Legislation Act 2003	Sch = Schedule(s)
LIA = Legislative Instruments Act 2003	Sdiv = Subdivision(s)
(md) = misdescribed amendment can be given	SLI = Select Legislative Instrument
effect	SR = Statutory Rules
(md not incorp) = misdescribed amendment	Sub‑Ch = Sub‑Chapter(s)
cannot be given effect	SubPt = Subpart(s)
mod = modified/modification	underlining = whole or part not
No. = Number(s)	commenced or to be commenced

Endnote 3—Legislation history

Name	Registration	Commencement	Application, saving and transitional provisions
Quality Agency Principles 2013	23 Dec 2013 (F2013L02188)	1 Jan 2014 (s 1.2)
Aged Care Legislation Amendment (Short‑term Restorative Care) Principles 2016	5 May 2016 (F2016L00670)	Sch 1 (items 46–126): 6 May 2016 (s 2(1) item 1)	—
Quality Agency Principles Amendment Principle 2016	24 May 2016 (F2016L00830)	25 May 2016	—

Endnote 4—Amendment history

Provision affected	How affected
Chapter 1
s 1.2..........................................	rep LA s 48D
s 1.4..........................................	am F2016L00670 ; F2016L00830
s 1.5..........................................	am F2016L00670
s 1.6..........................................	ad F2016L00670
Chapter 2
Chapter 2 heading.....................	rs F2016L00670
Part 1
Part 1 heading...........................	rs F2016L00670
Division 1
s 2.3..........................................	am F2016L00670; F2016L00830
s 2.5 .........................................	rep F2016L00830
Division 2
s 2.7..........................................	am F2016L00670
s 2.8..........................................	am F2016L00670
Division 3
Subdivision B
s 2.10 .......................................	am F2016L00830
s 2.11 .......................................	am F2016L00830
s 2.14........................................	am F2016L00670
s 2.17........................................	am F2016L00670
Subdivision C
s 2.18........................................	am F2016L00670
s 2.19........................................	am F2016L00670
s 2.20........................................	am F2016L00670
Division 4
s 2.22........................................	am F2016L00670
s 2.23........................................	am F2016L00670
s 2.24........................................	am F2016L00670
s 2.25........................................	am F2016L00670
Part 2
Division 2
s 2.28........................................	am F2016L00670
Division 3
s 2.30........................................	am F2016L00670
s 2.30A.....................................	ad F2016L00670
s 2.31........................................	am F2016L00670
s 2.34........................................	am F2016L00670
Division 4
s 2.35........................................	am F2016L00670
s 2.38........................................	am F2016L00670
s 2.41........................................	am F2016L00670
Division 5
s 2.42........................................	am F2016L00670
s 2.43........................................	am F2016L00670
s 2.44........................................	am F2016L00670
Division 6
s 2.45........................................	am F2016L00670
s 2.46........................................	am F2016L00670
s 2.47........................................	am F2016L00670
Part 4
s 2.58........................................	am F2016L00670
s 2.59........................................	am F2016L00670
s 2.61........................................	am F2016L00670
Part 5
s 2.62........................................	am F2016L00670
s 2.63........................................	am F2016L00670
s 2.64........................................	am F2016L00670
Part 7	rep F2016L00830
Chapter 3
Chapter 3 heading.....................	rs F2016L00670
Part 2
Division 1
s 3.2..........................................	rs F2016L00670
s 3.3..........................................	am F2016L00670
Division 2
s 3.4..........................................	am F2016L00670
s 3.5..........................................	am F2016L00670
s 3.6..........................................	am F2016L00670
s 3.7..........................................	am F2016L00670
s 3.8..........................................	am F2016L00670
s 3.9..........................................	am F2016L00670
s 3.10........................................	am F2016L00670
s 3.11........................................	am F2016L00670
Division 3
s 3.12........................................	am F2016L00670
s 3.13........................................	am F2016L00670
Part 3
s 3.14........................................	am F2016L00670
s 3.15........................................	am F2016L00670
s 3.15A.....................................	ad F2016L00670
s 3.16........................................	am F2016L00670
Part 4
s 3.17........................................	am F2016L00670
s 3.18........................................	am F2016L00670
s 3.19........................................	am F2016L00670
Chapter 4
Part 1
s 4.1..........................................	am F2016L00670
Chapter 5
Chapter 5..................................	ad F2016L00670
Part 1
s 5.1..........................................	ad F2016L00670
s 5.2..........................................	ad F2016L00670