Sanctions Amendment Principles 2001 (No. 1)
I, BRONWYN KATHLEEN BISHOP, Minister for Aged Care, make these Principles under subsection 96-1 (1) of the Aged Care Act 1997.
Dated 18 January 2001
BRONWYN BISHOP
Minister for Aged Care
1 Name of Principles
These Principles are the Sanctions Amendment Principles 2001 (No. 1).
2 Commencement
These Principles commence on gazettal.
3 Amendment of Sanctions Principles 1997
Schedule 1 amends the Sanctions Principles 1997.
4 Transitional
Part 2 of the Sanctions Principles 1997, as in force immediately before the date of commencement of this section, continues to apply in relation to a notice mentioned in subsection 66-2 (1) of the Act that was issued before that date.
Schedule 1 Amendments
(section 3)
[1] Section 22.3
substitute
22.3 Definitions
In these Principles:
Act means the Aged Care Act 1997.
non-compliance means a failure by an approved provider to comply with 1 or more of the approved provider’s responsibilities under Part 4.1, 4.2 or 4.3 of the Act.
Note: Definitions
A number of expressions used in these Principles are defined in the Aged Care Act 1997 (see Dictionary in Schedule 1), including:
- aged care
- approved provider
- disqualified individual
- key personnel
- residential care.
[2] After section 22.3
insert
Part 1A Reasonable steps to ensure suitability of key personnel
22.3A Purpose of Part (Act, s 63-1A)
This Part sets out reasonable steps that an approved provider must take to ensure that none of its key personnel is a disqualified individual.
22.3B Reasonable steps to be taken
(1) For subsection 63-1A (2) of the Act, the following reasonable steps are specified:
(a) for a person who is one of the approved provider’s key personnel at the date of commencement of this Part (the commencement date), the approved provider must, within 14 days of the commencement date, require the person to disclose in a signed statutory declaration whether he or she:
(i) has been convicted of an indictable offence; or
(ii) is an insolvent under administration;
(b) for a person who proposes to become, or who has become, one of the approved provider’s key personnel after the commencement date, the approved provider must, in relation to the person:
(i) seek (with the person’s written consent) a report about the person’s criminal conviction record from the Australian Federal Police; and
(ii) conduct a search of bankruptcy records; and
(iii) conduct previous employment and referee checks;
(c) for each of the approved provider’s key personnel, the approved provider must:
(i) ensure the person understands the obligations of key personnel and of approved providers under the Act in relation to disqualified individuals; and
(ii) if the approved provider reasonably believes that the person may be mentally incapable of performing his or her duties as one of the approved provider’s key personnel — make arrangements for the person to be examined by a registered medical practitioner; and
(iii) if the approved provider has ascertained that the person is a disqualified individual — ensure that the person ceases to be one of the approved provider’s key personnel;
(d) if the approved provider reasonably believes that a person may be a disqualified individual — the approved provider may take any of the steps mentioned in paragraphs (a) and (b), or other appropriate steps, to ascertain if the person is a disqualified individual;
(e) if the Secretary seeks information from the approved provider as to the steps taken by that approved provider to ensure that the person is not a disqualified individual — provide that information to the Secretary.
(2) For paragraph (1) (a), a person is required to give the approved provider a signed statutory declaration within 14 days of being required to do so.
(3) In subsection (1):
disqualified individual, indictable offence and insolvent under administration have the same respective meanings as in section 10A-1 of the Act.
[3] Section 22.4
omit
the requirements for appointing
insert
requirements concerning the appointment of
[4] Sections 22.5 and 22.6
omit
[5] Subsection 22.7 (1)
omit
the nomination,
insert
a nomination by the approved provider under subsection 66A-2 (2) of the Act,
[6] Section 22.8
omit
[7] Subsection 22.9 (3)
substitute
(3) Section 22.7 and this section apply to the nomination.
[8] Section 22.10
omit
the requirements for nominating and appointing
insert
requirements concerning the appointment of
[9] Sections 22.11 and 22.12
omit
[10] Subsection 22.13 (1)
omit
the nomination,
insert
a nomination by the approved provider under subsection 66A-3 (2) of the Act,
[11] Section 22.14
omit
[12] Subsection 22.15 (3)
substitute
(3) Section 22.13 and this section apply to the nomination.
Overview
The Sanctions Amendment Principles 2001 (No. 1) were enacted to address the need for stricter measures in ensuring the suitability of key personnel within approved providers of aged care services in Australia. This legislative instrument was introduced by Bronwyn Kathleen Bishop, the Minister for Aged Care, under the authority of the Aged Care Act 1997. The primary objective of these principles is to strengthen the regulatory framework governing the qualifications and background checks for key personnel within aged care providers, thereby enhancing the overall quality and safety of aged care services. These principles came into effect immediately upon gazettal, with transitional provisions ensuring that existing notices issued before the commencement date of these principles remain governed by the previous regulations. This amendment was necessary to address identified gaps in the oversight of key personnel in aged care settings, thereby ensuring that only suitably qualified individuals are entrusted with the care of vulnerable elderly Australians.
Scope and Application
The Sanctions Amendment Principles 2001 (No. 1) apply to approved providers under the Aged Care Act 1997, specifically focusing on their obligations regarding key personnel. These principles mandate that approved providers take reasonable steps to ensure that none of their key personnel are disqualified individuals. The term "disqualified individual" is defined in the Act, as is "non-compliance" which refers to failures by approved providers to meet their responsibilities under specified parts of the Act. The principles apply nationally and are effective from the date of their gazettal. Approved providers must disclose certain information about their key personnel, such as convictions and insolvency status, and may be required to conduct background checks. The Act may be further extended or modified through subordinate instruments, but the specific exclusions, exemptions, or thresholds are detailed within the primary legislation itself.
Key Provisions
The Sanctions Amendment Principles 2001 (No. 1) introduces significant changes to the Sanctions Principles 1997, as detailed in Schedule 1. These amendments primarily focus on ensuring the suitability of key personnel within approved providers of aged care services. Section 22.3A outlines the purpose of Part 1A, which is to establish reasonable steps that an approved provider must take to ensure that none of its key personnel are disqualified individuals. The reasonable steps are specified in section 22.3B, which includes requiring existing key personnel to disclose certain information about their criminal history and financial status within 14 days of the commencement date of these Principles. For new key personnel, the approved provider must obtain a criminal conviction report from the Australian Federal Police, conduct a search of bankruptcy records, and perform employment and referee checks. Furthermore, approved providers must ensure that key personnel understand their obligations under the Act and make arrangements for a medical examination if there are concerns about the individual’s mental capability. If an approved provider determines that a key personnel is a disqualified individual, they must take steps to cease their employment.
The Obligations and Requirements imposed by these Principles are extensive and designed to maintain high standards of care and governance within the aged care sector. Approved providers must diligently implement the steps outlined in section 22.3B to ascertain the suitability of their key personnel. This includes not only disclosing personal information but also ensuring that all new key personnel are thoroughly vetted through various checks. Approved providers are also required to understand and communicate the obligations of key personnel and approved providers under the Act. They must take proactive measures to address any potential issues, such as arranging for a medical examination if there is a reasonable belief that a key personnel may be mentally incapable of performing their duties. Furthermore, if it is determined that a key personnel is a disqualified individual, the approved provider must ensure that the individual ceases to hold their position. These obligations are crucial in maintaining the integrity and safety of aged care services.
The Sanctions Amendment Principles 2001 (No. 1) also establish clear consequences for non-compliance with the outlined provisions. While specific offences and penalties are not detailed within the text, it is implied that failure to adhere to these requirements could lead to significant consequences under the Aged Care Act 1997. Non-compliance with the stipulated steps to ensure the suitability of key personnel could result in sanctions being imposed on the approved provider. Such sanctions may include financial penalties, revocation of approval to provide aged care services, or other regulatory actions. The overarching goal is to ensure that all key personnel are fit and proper individuals, thereby safeguarding the quality and safety of aged care services provided in Australia.