ADMINISTRATOR PANEL AND ADVISER PANEL

APPLICATION GUIDE

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The details of the relevant licence conditions are available on the Creative Commons website (accessible using the links provided), as is the full legal code for the CC BY 3.0 AU licence (http://creativecommons.org/licences/by/3.0/au/legalcode).

The document must be attributed as the Department of Social Services Aged Care Administrator and Adviser Panels, A resource guide for approved providers & panel members

Contact officerJohn CoramQuality and MonitoringDepartment of Social ServicesPO Box 7576Canberra Business Centre ACT 2610

Telephone: 02 6289 1976

Email: Sanction.Adviser.Administrators.Panel@health.gov.au,

Web address of this report: http://www.dss.gov.au/our-responsibilities/ageing-and-aged-care

Please note:

From 18 September 2013, responsibility for aged care has moved to the Department of Social Services. During this period of transition, you may continue to receive correspondence from Department of Health and Ageing email addresses.

Table of Contents

INTRODUCTION.........................................................................................................................1

Panels Members..............................................................................................................1

LODGING YOUR APPLICATION.............................................................................................2

Electronic Lodgement.....................................................................................................2

Language.........................................................................................................................2

Enquiries by Applicants..................................................................................................2

Late Applications, Corrupted Files and Incomplete Applications..................................3

APPLICATION SUBMISSION....................................................................................................3

Ownership of Applicant Documents...............................................................................3

Confidentiality.................................................................................................................3

Disclosure of Information...............................................................................................4

Commercial, Technical and Financial Capacity.............................................................4

Security, Probity and Financial Checks..........................................................................5

EVALUATION PROCESS...........................................................................................................6

Acceptance of Applications............................................................................................6

Compliance......................................................................................................................6

Outcome of the Application Process...............................................................................6

SPECIFIED PERSONNEL...........................................................................................................7

SUB-CONTRACTORS.................................................................................................................7

ESSENTIAL REQUIREMENTS..................................................................................................8

ADDITIONAL SERVICES..........................................................................................................8

SPECIFIC ISSUES........................................................................................................................9

TIMEFRAMES.............................................................................................................................9

CONFLICT OF INTEREST..........................................................................................................9

INTRODUCTION

The Department of Social Services (the Department) is seeking applications from suitably qualified individuals or corporate entities (‘Applicants’) to be members of the Administrator Panel and/or Adviser Panel (‘Panels’) established under section 66A-1 of the Aged Care Act 1997 (‘the Act’). Applications must be lodged using the Application for Appointment to the Administrator Panel and/or Adviser Panel (the Application).

Approved providers who are subject to sanctions under the Act engage Administrators and/or Advisers from the Panels for a defined period of time in lieu of having their approved provider status revoked.

Panels Members

Under section 66A-1 of the Act the Secretary of the Department may appoint a person to a Panel if the Secretary is satisfied that the person:

has the skills and experience required to assist an approved provider to comply with its responsibilities under Part 4.1, 4.2 and 4.3 of the Act;

is not a ‘disqualified individual’ under section 10A-1 of the Act (if the person is an individual);

if a body corporate, any individual responsible for the executive decisions of the body corporate (e.g. directors, chief executive officer, managing director and any other person with the authority to make decisions on behalf of the company) is not a ‘disqualified individual’ under section 10A-1 of the Act;

if appointed to the Panel, would not have a conflict of interest between their duties as a panel member and any of their other interests or duties; and

is not a Commonwealth officer or employee.

Panel members are selected given their expertise in aged care, understanding of the causes of systemic failure, and knowledge about how to remedy them. They have extensive backgrounds (more than five years) senior administrative or clinical management experience, that encompasses experience in leading and managing change, influencing and motivating others and high level communication and negotiation skills.

The Department does not guarantee that a panel member will be selected and engaged by an approved provider. The specific function, role, authorities, reporting requirements and clearances, and remuneration of a panel member assisting an approved provider to remedy their non-compliance are determined by negotiation between the panel member and the approved provider.

The Department’s regulatory role requires it to monitor the progress of the action being taken by the approved provider to rectify the non-compliance and to monitor the risk to the health, welfare and interests of care recipients and the ongoing serious nature of non-compliance with the Act. To fulfil this role the Department will require periodic progress reports from a panel member who has been appointed to work with an approved provider.

Panel members must not use their status as a panel member for any business or other purpose not related to their engagement by an approved provider in a specific sanction situation. Panel members are not and must not claim to be advisers to, or on behalf of, the Commonwealth or

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the Department. Panel members do not work for or receive any remuneration from the Commonwealth.

LODGING YOUR APPLICATION

This Application is expressly not a contract between the Commonwealth and the Applicant. Nothing in this Application is to be construed as to give rise to any contractual obligations, expressed or implied.

Electronic LodgementApplications must be lodged by close of business (5.00pm) ESDT on Tuesday, 4 March 2014 (‘Application Closing Date’). Late Applications will not be considered. The Department may extend the closing time at its sole and absolute discretion.

The Department requires Applicants to lodge their Application electronically via Sanction.Adviser.Administrators.Panel@health.gov.au Neither the Department nor the Commonwealth take responsibility for any problems arising from the Applicant’s infrastructure and/or internet connectivity.

Two electronic copies of each Application are required, one in Microsoft Word and one in PDF format. The PDF version must include a scanned signed copy of the declarations included in the Application.

Applications must be completely self-contained. No hyperlinked or other material may be incorporated by reference.

If the applicant is a corporate entity, the representative of the Applicant who approves the Application (by signature) must have the authority to bind the company/organisation.

Before submitting an electronic Application, Applicants must:

take all steps to ensure that the Application is free from anything that might reasonably affect useability or the security or operations of the Department’s computing environment;

ensure that the Application complies with all file types, number of copies, format, naming conventions, size limitations or other requirements specified in this Guide or otherwise advised by the Department.

When an Application is successfully lodged, an email confirming receipt of the Application will be sent to the sender’s email address.

Applicants are to meet all costs of responding to this Application, including preparation, submission, postage, courier, lodgement and costs associated with attending interviews (if required).

Language

The Application, including all attachments and supporting material, must be written in English.

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Enquiries by Applicants

All communications related to this Application should be addressed to the Contact Officer via email Sanction.Adviser.Administrators.Panel@health.gov.au . Any notices of clarification regarding this application process will be posted as an Addendum on the Department’s website at http://www.dss.gov.au/our-responsibilities/ageing-and-aged-care.

Late Applications, Corrupted Files and Incomplete Applications

Late or incomplete applications, including those with electronic files that cannot be read or decrypted, applications which the Department believes potentially contains any virus, malicious code or anything else that might compromise the integrity or security of the Department’s computing environment, will be excluded from consideration.

If the Applicant becomes aware of any discrepancy, error or omission in the Application after lodgement and wishes to lodge a correction or additional material, that correction or additional material must be in writing and lodged in accordance with the requirements specified in this guide or otherwise advised by the Department prior to the application closing date.

APPLICATION SUBMISSION

Ownership of Applicant Documents

All Application documents will become the property of the Commonwealth on lodgement.

Intellectual property rights of information in the Application do not pass to the Commonwealth with the lodgement of the Application. However, in submitting an Application, the Applicant grants the Commonwealth a licence to retain, use, disclose and copy the information contained in any Application document for the purposes of:

evaluating or clarifying the Application;

evaluating any subsequent Application/s;

administering the requirements for the engagement of a person as an Administrator or Adviser to an approved provider;

responding to any challenge to the application process, audit and complying with governmental and parliamentary reporting requirements or requests for information, including but not limited to requests from parliament or parliamentary committees; and

any other purpose related to the application process or above purposes.

Confidentiality

The Commonwealth undertakes to keep confidential any confidential information provided to the Commonwealth by applicants prior to any appointment and, in respect of unsuccessful applicants, after any appointments.

The obligation of confidentiality does not apply if the confidential information:

(a) is disclosed by the Commonwealth to its advisors or employees solely in order to consider the Application;

(b) is disclosed by the Commonwealth to the responsible Minister;

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(c) is disclosed by the Commonwealth, in response to a request by a House or a Committee of the Parliament of the Commonwealth;

(d) is authorised or required by law to be disclosed; or

(e) is in the public domain otherwise than due to a breach of this clause.

To enable the Commonwealth to consider whether it agrees to keep specific information confidential, Applicants must include in their Application any request that information is to be treated as confidential, if any, specifying the information and giving reasons why it is necessary to keep the information confidential.

The Commonwealth will consider any request made under this clause and will inform the Applicant whether or not the Commonwealth, in its sole discretion, agrees to the request and the terms under which it agrees.

The terms of any agreement as to confidentiality will form part of the appointment at completion of the application process.

Disclosure of Information

In this clause, ‘personal information’ has the same meaning as in the Privacy Act 1988. The Department may collect, use and disclose any personal information collected, or provided to it by the Applicant during the course of this application process for any of the following purposes:

(a) conduct that is carried out in the establishment of the Administrator Panel and Adviser Panel under section 66A-1 of the Aged Care Act 1997;

(b) conduct that is carried out in the appointment of Administrators and Advisers under sections 66A-2 and 66A-3 of the Aged Care Act 1997; and

(c) conduct that is carried out in the selection of an Applicant or panel member for Additional Services, if that panel member has indicated a willingness to be considered for this role, including the provision of details to aged care industry bodies and/or aged care providers.

The Freedom of Information Act 1982 (‘FOI Act’), gives to members of the public rights of access to official documents of the Commonwealth and its agencies. The FOI Act extends as far as practicable the right of the Australian community to access information (generally documents) in the possession of the Commonwealth, limited only by exceptions and exemptions necessary for the protection of essential public interests and of the private and business affairs of persons in respect of whom information is collected and held by Departments and public authorities. Information can’t be disclosed if it is ‘protected information’ under the Aged Care Act 1997. However, in certain circumstances a delegate of the Secretary may disclose such information.

Commercial, Technical and Financial Capacity

Applicants must disclose any litigation, arbitration, mediation, conciliation or proceeding, including any investigations ('Proceedings'), that are taking place, pending or threatened, against them where such Proceedings will or have the potential to affect either:

the Applicant’s capacity to perform and fulfil its obligations if appointed as a result of this Application process; or

the Applicant’s reputation.

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In circumstances where there are no Proceedings as detailed in this clause, Applicants must make a declaration to this effect. (Refer to page 7 of the Application.)

Applicants who fail to disclose Proceedings in accordance with this clause or who fail to make a statement in accordance with this clause (as applicable) and are subsequently found to have Proceedings that the Commonwealth considers should have been disclosed will immediately be disqualified from the application process. If it is found that a successful Applicant has Proceedings as detailed in this clause after they are appointed, it may be grounds for immediate termination of the appointment.

The Department will consider the Applicant’s response to this clause and the commercial, technical or financial capacity of any Applicant or subcontractor proposed in their submissions, including the existence of any breach or default or alleged breach or default of any agreement, order or award binding upon them.

Security, Probity and Financial Checks

The Commonwealth reserves the right to perform such security, probity and/or financial investigations and procedures as the Commonwealth, in its absolute discretion, may determine are necessary in relation to each Applicant, its partners, associates, sub-contractors or related entities including consortium members and their officers or employees. Each Applicant agrees to provide, at its cost, all reasonable assistance to the Commonwealth in this regard.

Under section 66A-1 of the Act, a person is not eligible to be a member of the Administrator Panel and/or Adviser Panel if:

the person is a ‘disqualified individual’; and if the person is a body corporate, any individual responsible for the executive

decisions of the body corporate (including directors, chief executive officer, managing director and any other person with the authority to make decisions on behalf of the company) is a ‘disqualified individual’.

Applicants should check the relevant provisions in detail, but generally, under section 10A-1 of the Act, an individual is a ‘disqualified individual’ if:

(a) the individual has been convicted of an indictable offence;

(b) the individual is an insolvent under administration; or

(c) the individual is of unsound mind.

Applicants must note Part 4 of the Accountability Principles 1998 which prevent an approved provider engaging a person as an administrator or adviser without a current (dated not more than 3 years before the day on which the person is engaged) national criminal history record which does not record a conviction for:

murder or sexual assault; or any other form of assault with a sentence of imprisonment.

The Applicant is to attach to the Application an original or certified copy of a national criminal history record check obtained through the Australian Federal Police or a CrimTrac accredited agency. The national criminal history record check must be dated no more than 90 days before the date the Application is received by the Department. Where a national criminal history record check can’t be obtained within the application timeframes Applicants must attach evidence or a declaration that a national criminal history record check has been applied for.

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The national criminal history record check will be required prior to appointment. National criminal history record checks are required for:

the Applicant when the Applicant is an individual;

all individuals responsible for the executive decisions of the body corporate (including directors, chief executive officer, managing director and any other person with the authority to make decisions on behalf of the company) when the applicant is a corporate body; and

each specified personnel and/or sub-contractor of all Applicants (i.e. Applicants that are individuals and body corporates).

The Applicant is to attach to the Application, an original or certified copy of a national insolvency search report/extract obtained through Insolvency and Trustee Service Australia (ITSA) or an accredited agency. The national insolvency check must be dated no more than 90 days before the date the Application is received by the Department.

EVALUATION PROCESS

Acceptance of Applications

The Commonwealth may seek clarification of the contents of an Application from any Applicant.

Any Application that does not provide all required information or which contains false or misleading information may be excluded from consideration.

Compliance

The Applicant will be taken to agree and comply with all parts of the Application unless the Applicant provides detail of the extent of, and reasons for, any non-compliance.

Applicants that do not meet an essential requirement will be automatically excluded from consideration.

A non-compliant Application may be excluded from consideration as being incomplete; however, the Commonwealth may seek clarification from the Applicant.

Outcome of the Application Process

Each evaluation criteria is not necessarily of the same relative importance. Weightings are assigned to each evaluation criterion to reflect their relative importance. Weightings are determined by the Department.

In evaluating the Applications, the Department reserves the right to draw on information about the Applicant in the public domain or acquired in the Department’s course of business, to ascertain an Applicant’s capacity and suitability to perform the role from a commercial, financial, professional or technical perspective (along with the formal compliance check).

The Department reserves the right to only select sufficient Applicants to ensure adequate coverage of each Panel (administrator/adviser), each category (residential/community) and key

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functional area (quality of care/user rights/accountability), in each State and Territory jurisdiction.

All Applicants will be informed in writing of the outcome of their Application. Following this notification, Applicants may request written feedback from the Contact Officer on the outcome of their Application. This will be at the discretion of the Contact Officer, and must be requested within 7 days of receiving the notification.

SPECIFIED PERSONNEL

Applicants should provide details of any proposed personnel who may assist the panel member in providing services to an approved provider. Panel members may not use any personnel other than those stated in the Schedule of Specified Personnel attached to the panel member’s Instrument of Appointment.

Applicants are responsible for ensuring their specified personnel meet the following requirements:

hold relevant qualifications; hold a current national criminal history record check; have declared to the Department any conflict of interest between the person’s duties as a

panel member and any other interests or duties of the person; conform to all relevant professional codes of conduct and guidelines of their respective

profession/s; and meet all relevant national and/or state and territory employment and/or professional

registration requirements.

If personnel become unavailable any replacement is subject to approval by the Department. The Department will not unreasonably withhold its consent to a request to approve additional personnel to replace those unavailable or the addition of new personnel if it is satisfied that the proposed personnel meet the requirements.

SUB-CONTRACTORS

Applicants should provide details of any proposed sub-contractors who may be contracted by the panel member to assist in providing services to the approved provider. Panel members may not use any sub-contractors other than those stated in the Schedule of Sub-contractors attached to the panel member’s Instrument of Appointment.

Panel members are responsible for ensuring any sub-contractors they engage meet the following requirements:

hold relevant qualifications; have appropriate commercial, technical and financial capacity; hold a current national criminal history record check; have declared to the Department a conflict of interest between the person’s duties as a

panel member and any other interests or duties of the person; conform to all relevant professional codes of conduct and guidelines of their respective

profession/s; and meet all relevant national and/or state and territory employment and/or professional

registration requirements.

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If the nominated sub-contractor becomes unavailable any replacement is subject to approval by the Department. The Department will not unreasonably withhold its consent to approve an additional sub-contractor to replace the unavailable one or the addition of a new sub-contractor if it is satisfied that the sub-contractor meets the requirements listed above.

ESSENTIAL REQUIREMENTS

The Commonwealth will exclude an Application from further consideration if the Commonwealth considers that the Applicant does not comply with the following essential requirements:

(a) Submit a completed and signed Panel Application Form. The Application is to include the signed declaration which includes:

the disclosure of any conflict or potential conflict of interest between the Applicant’s duties as a panel member and any other interests or duties of the Applicant and how they will be managed;

they, and in the case of a corporate entity no individuals who are responsible for the executive decisions of the body corporate are a ‘disqualified individual’ as defined in section 10A-1 of the Act; and

the Applicant or any of the specified personnel included in their Application is not a Commonwealth officer or employee;

(b) if a corporate entity, the Application has been approved by signature of an officer authorised to bind the company/organisation;

(c) the Application, including all attachments and supporting material, must be written in English;

(d) provision of the information detailed in the Panel Application Form; and(e) have or be willing to maintain if appointed the following minimum levels of insurance

and indemnity coverage and agree to maintain it for the term of appointment to the Administrator and/or Adviser Panels:

$20,000,000.00 Public Liability; and $10,000,000.00 Professional Indemnity.

ADDITIONAL SERVICES

An aged care provider may require the services of a person from the Panel for purposes in addition to those required under section 66-2(1)(a)(iii) and (iv) of the Act (‘Additional Services’). The Department may provide the list of panel members who have nominated to provide Additional Services, to aged care industry bodies and/or aged care providers when assistance with Additional Services is required. Additional Services may include:

similar services required outside of a sanction situation, i.e. when an approved provider has been served with a Notice of intention to impose sanctions; or

services related to the Aged Care Funding Instrument appraisals.

The specific function, role, authorities, reporting requirements and clearances, and remuneration for such additional services are determined by negotiation between the panel member and the aged care provider.

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An Applicant should indicate their willingness to provide Additional Services in their Application.

SPECIFIC ISSUES

When providing services for specific sanctions, the Department expects panel members to conform to the professional codes of conduct and guidelines of their respective profession/s, and to ensure that all relevant national and/or state and territory employment and/or professional registration requirements are met.

Once appointed to the Panel, members must advise the Department within 28 days of any changes to their circumstances that may impact on their status as a panel member. This would include, but not limited to changes to, ownership of business, geographic location, skill profile and personnel listed in either the Schedule of Specified Personnel and Schedule of Sub-contractors, or resignation from a Panel.

TIMEFRAMES

The term of appointment to the Panels will be for a period of up to three years and will be stated in the Instrument of Appointment.

Panel appointments may be terminated in writing by either the panel member or the Secretary. If terminated by the Secretary, a statement of reasons will be provided.

CONFLICT OF INTEREST

A conflict of interest is a set of circumstances that creates a risk that a person’s duty, judgment or actions regarding an interest will be unduly influenced by a different interest. An example of a conflict of interest is an instance where a panel member, or a business associate or close personal associate of the panel member, has a direct financial, personal or other interest which influences, or may appear to influence, the roles and responsibilities of the panel member.

Conflicts of interest are not ‘one-off’ issues and it is important to consider at regular intervals whether a conflict of interest exists, and if so developing, implementing and monitoring strategies to effectively manage them.

When applying for membership of the Panel/s applicants have a responsibility to disclose any conflict of interest, or potential conflict of interest, which may affect their duties as a member of the Panels. All known actual, perceived or potential conflicts of interest must be declared. The Secretary can only appoint a person to the Panels if satisfied that there would be no conflict of interest between the panel member’s duties as a member of the Panels and any other interests or duties of the panel member (see section 66A-1(2) of the Act).

The panel members also undertake, as a condition of being appointed to the Panels, to have continuing regard to the issue of conflicts of interest. Panel members are to immediately advise the Department of any changes to the actual, potential or perceived conflicts of interest listed in the panel member’s application form. It is a serious offence to give false or misleading information to the Commonwealth.

Panel members nominated by an approved provider to assist that approved provider also have a responsibility to disclose any conflict of interest, or potential conflict of interest that may impact on their duties as the panel member. The Secretary may only approve the appointment

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of a panel member by an approved provider if there would be no conflict affecting the delivery of care or other services.

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