Records Authority 2015/00446482

Australian Aged Care Quality Agency

Assessor Registration; Compliance Management; Education & Information Awareness

2015

This is an accurate reproduction of the authorised records authority content, created for accessibility purposes

Introduction

The Australian Aged Care Quality Agency (AACQA) and the National Archives of Australia have developed this Records Authority to set out the requirements for keeping or destroying records for the core business of Assessor Registration, Compliance Management, and Education and Information Awareness. It represents a significant commitment on behalf of AACQA to understand, create and manage the records of its activities. 

This Authority is based on the identification and analysis of the business of AACQA. It takes into account the agency's legal and organisational records management requirements, and the interests of stakeholders, the agency and the National Archives of Australia. 

The Authority sets out those records that need to be retained as national archives and specifies the minimum length of time that temporary records need to be kept. This Authority gives AACQA permission under the Archives Act 1983, for the destruction of the temporary records described after the minimum retention period has expired. Retention periods for these temporary records are based on: an assessment of business needs; broader organisational accountability requirements; and community expectations, and are approved by the National Archives of Australia on the basis of information provided by the agency. 

As changes in circumstances may affect future records management requirements, the periodic review of this Authority is recommended. All amendments must be approved by the National Archives.

Application of this Authority

  1. This Authority is to be used to determine how long records must be kept. Records are matched to the relevant core business and records class in the Authority.
    • Where the minimum retention period has expired and the records are not needed for agency business they should be destroyed as authorised in this Authority.
    • Records that have not reached the minimum retention period must be kept until they do.
    • Records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
  2. This Authority should be used in conjunction with general records authorities such as:
    • the Administrative Functions Disposal Authority (AFDA) and/or AFDA Express issued by the National Archives to cover business processes and records common to Australian Government agencies;
    • General Records Authority 24 – Records Relating to Data Matching Exercises; and
    • General Records Authority 31 for source (including original) records that have been copied, converted or migrated.
  3. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements agreed to in this Authority but can be used as a tool to assist in identifying records for destruction together with an agency’s Records Authority or Authorities, and with AFDA and AFDA Express. The National Archives recommends that agencies develop and implement a Normal Administrative Practice policy. Advice and guidance on destroying records as a normal administrative practice and on how to develop an agency NAP policy is available from the National Archives’ website at www.naa.gov.au.
  4. Records that are reasonably likely to be needed as evidence in a current or future judicial proceeding or are subject to a request for access under the Archives Act 1983, the Freedom of Information Act 1982 or any other relevant Act must not be destroyed until the action has been completed.
  5. Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. Further information about disposal freezes and whether they affect the application of this Authority is available from the National Archives website at www.naa.gov.au.
  6. Where the method of recording information changes (for example from a manual system to an electronic system, or when information is migrated from one system to a new system) this Authority can still be applied, providing the records document the same core business. The information must be accessible for the period of time prescribed in this Authority. The agency will need to maintain continuing access to the information, including digital information, for the periods prescribed in this records authority or until the information is transferred into the custody of the National Archives.
  7. In general, retention requirements indicate a minimum period for retention. AACQA may extend minimum retention periods if it considers that there is an administrative need to do so, without further reference to the National Archives. Where AACQA believes that its accountability will be substantially compromised because a retention period or periods are not adequate, it should contact the National Archives for review of the retention period.
  8. Records coming within ‘Retain as national archives’ classes in this Authority have been determined to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983. The determination of Commonwealth records as archival resources of the Commonwealth obliges agencies to transfer the records to the National Archives when they cease to be current and, in any event, within 15 years of the records coming into existence, under Section 27 of the Archives Act 1983.
  9. Records in the care of agencies should be appropriately stored, managed and preserved. Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time. Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  10. Appropriate arrangements should be made with the National Archives when records are to be transferred into custody. The National Archives accepts for transfer only those records designated as national archives.
  11. Advice on how to use this Authority is available from AACQA’s records manager. If there are problems with the application of the Authority that cannot be resolved, please contact the National Archives.

Contact Information

For assistance with this authority or for advice on other records management matters, please contact National Archives' Agency Service Centre.

Queen Victoria Terrace
Parkes ACT 2600

PO Box 7425
Canberra Mail Centre ACT 2610

Email: recordkeeping@naa.gov.au
Website: www.naa.gov.au

Authorisation

Person to whom notice of authorisation is given:

Mr Nick Ryan
Chief Executive Officer
Australian Aged Care Quality Agency
Level 9, 111 Phillip Street
Parramatta NSW 2150

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.

Determines records classed as ‘Retain as national archives’ in this Records Authority to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983.

Application:

All core business records relating to Assessor Registration; Compliance Management; and Education and Information Awareness.

This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.

Authorised by:

David Fricker
Director-General
National Archives of Australia

23 October 2015

Assessor registration

The core business of registering and re-registering quality assessors who are qualified and authorised to undertake quality assessment contacts and audits to support accreditation and review processes for residential aged care providers and home care providers, to ensure their compliance with relevant statutory obligations under aged care legislation and associated instruments (such as the Aged Care Principles 2013).

The core activities include:

  • developing, implementing and reviewing policies, strategies, frameworks and procedures relating to the registration of quality assessors;
  • receiving, processing and assessing applications for registration or re-registration of quality assessors, including reviewing evidence of professional development hours and audit experience gained as a quality assessor;
  • convening interview panels to review quality assessor applicants, including conducting individual and group interviews;
  • undertaking background checks for prospective quality assessors, including criminal record checks;
  • developing and approving assessment guides and course examination content to support the quality assessor registration process;
  • marking of training course examinations, including review and consolidation of applicant results;
  • determining successful applicants;
  • advising applicants of the outcome of the assessor registration process;
  • obtaining signed code of conduct forms from registered quality assessors;
  • providing individual summary feedback on prospective quality assessors;
  • managing appeals and reviews of agency decisions; and
  • managing and maintaining the register of approved quality assessors.
  • The performance of the core business is supported by general activities such as:
  • making administrative arrangements to support pre-hearing conferences and hearings;
  • delegating powers and authorising actions;
  • managing and participating in meetings;
  • negotiating, establishing and implementing agreements and contracts;
  • planning and reporting; and
  • handling routine enquiries.

Cross references to other areas of this records authority

For obtaining and maintaining organisational accreditation with relevant international quality standards bodies, use COMPLIANCE MANAGEMENT

For aged care quality training courses and professional development activities to support quality assessors achieve registration and re-registration, and for obtaining formal accreditation from international standards bodies to deliver these training courses, use EDUCATION & INFORMATION AWARENESS.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, use GOVERNMENT RELATIONS.

For development of new legislation and amendments to existing legislation, including amendments to the Quality Agency Standards, use GOVERNMENT RELATIONS and/or STRATEGIC MANAGEMENT.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

For the preparation of budget estimates, budget proposals and financial transactions, including the receipt of payments for assessor registration and re-registration, use FINANCIAL MANAGEMENT.

For the management of ongoing, non-ongoing and casual quality assessors, use PERSONNEL.

For general, non-aged care quality related training and development activities for agency staff (including ongoing, non-ongoing and casual quality assessors), and induction programs for new agency staff, use STAFF DEVELOPMENT.

For the procurement of goods and services, including contracting training delivery providers and external quality assessors, and developing and maintaining the ‘multi-user list’, use PROCUREMENT.

For managing legal services, including providing legal advice and litigation activities, use LEGAL SERVICES.

Cross references to other records authorities

For advisory bodies that support the aged care quality accreditation regime, such as the Aged Care Quality Advisory Council, use ADVISORY BODIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61961

The following significant records documenting:

  • developing, implementing and reviewing high-level policies, plans, strategies and frameworks relating to the registration of quality assessors. Includes final versions, policy statements, major drafts, stakeholder consultations and supporting research;
  • summary records consolidating information on quality assessors (eg register of aged care quality assessors);
  • development of high-level reports. Includes final versions, major drafts, stakeholder consultation and supporting research;
  • final versions of significant agreements and contracts and supporting documents, that: relate to the establishment of major partnerships and cooperative arrangements with other governments, agencies and organisations; are controversial, of public interest; or have substantial implications for the conduct of agency business. Includes Memorandums of Understanding and joint ventures;
  • high-level reviews of the core business, including strategic and major internal reviews. Includes final review reports, recommendations, submissions, stakeholder consultations and supporting research; and
  • master versions of agency publications produced to support the core business (eg Results and Processes Guide).
Retain as national archives
61962

Records documenting:

  • registration/re-registration of ongoing, non-ongoing and casual quality assessors. Includes:
  • application for registration/re-registration;
  • assessment of application;
  • evidence of professional development and audit experience;
  • final results of training course examinations;
  • assessor applicants interviews, including panel comments/ recommendations and feedback to applicants;
  • signed assessor code of conduct;
  • production of assessor identification/credentials; and
  • withdrawal of registration.
  • [For the consolidated employment history of ongoing, non-ongoing and casual quality assessors, use PERSONNEL.
  • For records documenting registration/re-registration of external contract quality assessors, use class 61964.]
75 years after date of birth of assessor or 7 years after last action, whichever is later
61963

Records documenting:

  • national criminal history checks obtained to support the registration process for external assessors.
Destroy 3 months after receipt of
61964

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • assessor registration activities, other than those covered in classes 61961 to 61963.
Destroy 7 years after action completed

Compliance Management

The core business of regulating and assuring the quality of Australia’s aged care sector by assessing and accrediting aged care provider compliance with statutory obligations under aged care legislation and associated instruments (such as the Aged Care Principles 2013). Involves authorising the accreditation and re-accreditation of aged care facilities and administering the quality review process by conducting review assessments and audits to ensure continued compliance by providers of residential aged care or home care to the residents of aged care facilities.

The core activities include:

  • developing, implementing and reviewing compliance management policies, procedures, programs, strategies and frameworks, including the industry accreditation quality assurance program;
  • receiving, processing and assessing applications for accreditation and re-accreditation by aged care and home care service providers, including assessing providers commencing operations and issuing certificates of accreditation;
  • developing and promoting self-assessment tools to support compliance management activities;
  • issuing assignment requests to assessors and reviewers to perform assessments, audits and reviews;
  • scheduling and arranging visits to conduct assessment contacts and audits, including unannounced visits and inspections of aged care facilities where serious risk has been identified;
  • conducting assessment contacts, re-accreditation audits, review audits and quality reviews of aged care and home care providers, to assess performance of approved providers against applicable principles and standards;
  • receiving and analysing statements, submissions and other evidence provided in support of an accreditation or re-accreditation application or a review audit or quality review;
  • research and analysis undertaken to support accreditation and quality review processes;
  • preparing, approving and issuing final audit reports to the approved provider or home care provider;
  • liaising with stakeholders;
  • providing notification to the portfolio department and the aged care provider of identified areas of serious risk to the health, safety and well-being of residents or failure to meet applicable standards;
  • establishing, implementing and reviewing timetables for improvement for aged care providers, which detail the required improvements that an aged care provider must complete within a specified timeframe in order to rectify previously identified non-compliance with the accreditation standards or remove identified areas of serious risk to residents;
  • monitoring aged care provider performance against the aged care accreditation standards, including monitoring continuous improvement and monitoring agency compliance with obligations outlined in timetables for improvement;
  • varying and cancelling aged care provider accreditation, including revoking provider accreditation for non-compliance with the accreditation standards, and advising stakeholders of variations and cancellations;
  • reconsiderations and reviews of agency decisions and appeals to higher authorities; and
  • ensuring organisational adherence to international quality standards by obtaining and maintaining organisational accreditation with relevant international quality accrediting bodies.

The performance of the core business is supported by general activities such as:

  • making administrative arrangements to support external quality assessors in conducting assessments, reviews and audits;
  • receiving and providing advice;
  • delegating powers and authorising actions;
  • managing and participating in internal and external committees and meetings;
  • negotiating, establishing and implementing agreements and contracts;
  • planning, reporting and reviewing;
  • handling complaints and routine enquiries; and
  • identifying, assessing and managing risks.

Cross references to other areas of this records authority

For the registration and re-registration of quality assessors, use ASSESSOR REGISTRATION.

For developing and delivery training courses to support compliance activities; arranging and hosting conferences, seminars and workshops; publishing newsletters and information sheets; and, the conferring of awards for excellence in the provision of quality aged care services, use EDUCATION & INFORMATION AWARENESS.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, use GOVERNMENT RELATIONS.

For development of new legislation and amendments to existing legislation, including amendments to the Quality Agency Standards, use GOVERNMENT RELATIONS and/or STRATEGIC MANAGEMENT.

For the restructuring of the agency following machinery of government changes, use ESTABLISHMENT.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

For the procurement of goods and services, including contracting external assessors and developing and maintaining the ‘multi-user list’, use PROCUREMENT.

For travel and accommodation arrangements made for employees in connection with compliance management activities, use PERSONNEL.

For publishing outcomes of accreditation, re-accreditation and review processes to inform the community, use PUBLICATION.

For managing legal services, including providing legal advice and litigation activities, use LEGAL SERVICES.

Cross references to other records authorities

For advisory bodies that support the aged care quality accreditation and assessment regime, such as the Aged Care Quality Advisory Council, use ADVISORY BODIES.

For records associated with establishing and winding-up entities and companies, such as winding-up the Aged Care Standards and Accreditation Agency Ltd, use ESTABLISHING & WINDING UP ENTITIES & COMPANIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61965

The following significant records documenting:

  • developing, implementing and reviewing national and high-level compliance management policies, plans, strategies and frameworks. Includes final versions, policy statements, major drafts, stakeholder consultations and supporting research;
  • developing national and high-level compliance programs and projects, including the industry accreditation quality assurance program and the quality review program (eg National Aboriginal and Torres Strait Islander Flexible Aged Care Program);
  • providing and receiving high-level advice. Includes final versions of advice position papers, opinions and briefings;
  • high-level internal and external, including inter-governmental or inter-agency, committees, working groups and other bodies where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role (eg National Case Management Committee). Includes establishment documentation, agenda, final version of minutes, reports and tabled papers;
  • final versions of significant agreements and contracts and supporting documents, that: relate to substantial agreements or the establishment of partnerships or cooperative arrangements with other governments, agencies and organisations; are controversial, of public interest or ground-breaking in nature; or have substantial implications for the conduct of agency business. Includes Memoranda of Understanding and bilateral agreements;
  • summary records consolidating information on the accreditation of approved aged care providers (eg register of accredited aged care providers);
  • initial accreditation assessment of providers of residential aged care or home care (ie ‘commencing home’ application case records), where the applicant is successful. Includes: application for accreditation, final accreditation report, stakeholder consultation, submissions, correspondence, assignment of assessors, continuous improvement plans, timetables for improvement, notifications and certificate of accreditation;
  • re-accreditation audits, review audits, assessment contacts and quality reviews of approved providers of residential aged care or home care to the residents of aged care facilities (ie case records), that: are controversial or of considerable public interest; ground-breaking or precedent setting; identify serious risk or non-compliance with standards resulting in closure of care providers; or result in substantial change to agency policy, processes or operations or changes to legislation. Includes final audit report, applications, submissions, notices, witness statements, notes and other supporting evidence, self-assessment tool outcomes, correspondence, expert reports, determinations, timetables for improvement and appeals against decisions;
  • final versions of tools developed to support the core business, including quality standards self-assessment tools and monitoring and evaluation tools (eg re-accreditation self-assessment tool);
  • investigations and corrective actions relating to complaints received regarding the activities of quality assessors or the operations of the agency (ie conduct case records) that: are controversial or of considerable public interest; are precedent setting; or, result in substantial change to agency policy, processes or operations or changes to legislation. Includes registration of complaint, notifications, investigation research and findings, investigation outcome and referrals to appropriate external authorities;
  • development of national and high-level reports, including major statistical reports. Includes final versions, major drafts, stakeholder consultation and supporting research;
  • outcomes of major research and analysis undertaken or commissioned by the agency. Includes final research reports, statistical modelling and trend analysis, and supporting research datasets and associated information;
  • appeals or reviews of decisions (ie reconsiderations) made by the agency that: are precedent setting, controversial or of significant public interest; or, result in major changes to agency policy or programs. Includes appeals to higher authorities such as the Administrative Appeals Tribunal;
  • submissions and other information provided in response to formal requests from the Coroner’s Court, including information provided as evidence; and
  • high-level reviews of the core business, including national and sector-wide reviews and major internal reviews. Includes final review reports, recommendations, major drafts, submissions and supporting research.
Retain as national archives
61966

Records documenting:

  • travel and accommodation arrangements made in relation to compliance management (eg site visits for external contract quality assessors).
3 years after action completed
61967

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • compliance management activities, other than those covered in classes 61965 and 61966.
Destroy 10 years after action completed

Education and Information Awareness

The core business of developing and delivering industry education and information awareness programs to residential aged care providers and home care providers to improve the quality of care for residents of aged care facilities and recipients of home care services. Includes promoting high-quality care, innovation in quality management and supporting a culture of continuous improvement amongst care providers.

The core activities include:

  • developing, implementing and reviewing industry education and information awareness policies, programs, procedures, plans, strategies and frameworks. Includes developing an annual schedule of education and information awareness events;
  • developing, approving and delivering industry education and information awareness events, such as training courses, conferences, seminars, workshops and in-house sessions, including developing event content;
  • receiving and processing event registrations from educational event participants;
  • developing industry education and information awareness tools and publications;
  • negotiating, establishing and implementing agreements and contracts;
  • ensuring training programs meet applicable quality standards by obtaining and maintaining accreditation with relevant international quality accrediting bodies;
  • developing and implementing marketing and promotional campaigns, including advertising and promoting education and information awareness events;
  • receiving and analysing post-education event feedback, such as conference and seminar feedback surveys;
  • undertaking monitoring and surveillance of the aged care industry;
  • undertaking research and analysis;
  • liaising with stakeholders;
  • preparing and presenting speeches; and
  • conferring awards for excellence in the provision of quality residential or home care aged care services.

The performance of the core business is supported by general activities such as:

  • making administrative arrangements to support education and information awareness events, including venue hire and travel arrangements;
  • managing and participating in internal and external committees and meetings;
  • delegating powers and authorising actions;
  • reporting, reviewing and evaluating;
  • handling routine enquiries; and
  • identifying, assessing and managing risks.

Cross references to other areas of this records authority

For activities involving the exercise of the agency’s investigative and enforcement powers, use COMPLIANCE MANAGEMENT.

For marking examinations and making assessments on the performance of participants attending education events and training activities to fulfil quality assessor registration and re-registration requirements, use ASSESSOR REGISTRATION.

Cross references to AFDA Express Records Authority

For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, use GOVERNMENT RELATIONS.

For development of new legislation and amendments to existing legislation, including amendments to the Quality Agency Standards, use GOVERNMENT RELATIONS and/or STRATEGIC MANAGEMENT.

For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.

For the preparation of budget estimates, budget proposals and financial transactions, including the receipt of payments for training courses, use FINANCIAL MANAGEMENT.

For staff attending education and information awareness events hosted by the agency, including training courses, seminars, conferences and workshops, use STAFF DEVELOPMENT.

For the procurement of goods and services, including transcription services and contracting training delivery providers, use PROCUREMENT.

Cross references to other records authorities

For advisory bodies that support the aged care quality accreditation regime, such as the Aged Care Quality Advisory Council, use ADVISORY BODIES.

For developing and executing contracts under seal or deeds, use CONTRACTS UNDER SEAL/DEEDS.

Class no Description of records Disposal action
61968

The following significant records documenting:

  • developing, implementing and reviewing high-level education and information awareness policies, plans, strategies and frameworks. Includes final versions, policy statements, major drafts, stakeholder consultations and supporting research;
  • master set of education program training course content and associated materials, including videos, guides and better practice examples. Includes final versions of content developed for care provider training programs and courses (eg Qhome, QUEST, Understanding Accreditation) and content of quality assessor training courses (eg ‘Assessor 5-day course’), flexible learning packages, and online training modules;
  • developing major marketing, branding and educational campaigns that support education and information awareness policies, programs and products. Includes final versions of marketing and educational material (eg print, radio and television advertisements) and supporting documentation;
  • high-level internal and external committees, working groups and other bodies where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role. Includes establishment documentation, agenda, final version of minutes, reports and tabled papers;
  • final versions of significant agreements and contracts and supporting documents, that: relate to substantial funding agreements or the establishment of major partnerships or cooperative arrangements with other governments, agencies and organisations; are controversial, of public interest or ground-breaking in nature; or result in major changes to agency policies or programs. Includes Memorandums of Understanding and joint venture agreements;
  • development of high-level reports. Includes final versions, major drafts, stakeholder consultation and supporting research;
  • outcomes of major research and analysis undertaken or commissioned by the agency. Includes final research reports, statistical modelling and trend analysis, and supporting research datasets and associated information;
  • high-level reviews of the core business, including strategic and major internal reviews. Includes final review reports, recommendations, submissions, stakeholder consultations and supporting research;
  • final versions of unpublished proceedings, reports, presentations and papers from conferences, seminars and workshops hosted by the agency (eg Better Practice Conferences);
  • ceremonies for conferring national awards for excellence in the provision of quality aged care services (eg Better Practice Awards). Includes programs, photographs and award recipient nomination and assessment;
  • master versions of agency publications. Includes information sheets, brochures and newsletters (eg Quality Standard newsletter);
  • final versions of speeches presented by the portfolio Minister, the agency head or senior agency staff; and
  • final versions of education and information awareness tools developed to support the promotion and adoption of good practices in the Australian residential aged care and home care sector (eg self-assessment tools).
Retain as national archives
61969

Records documenting:

  • client surveys and other event feedback received following the completion of education events;
  • travel and accommodation arrangements made in relation to the delivery of training, other than for agency personnel;
  • arrangements for venue bookings and catering; and
  • receiving and responding to low-level general enquiries in relation to education and training, which require a routine/standard response.
Destroy 3 years after action completed
61970

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • education and information awareness activities, other than those covered in classes 61968 and 61969.
Destroy 7 years after action completed
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