The information on this page is for residential care services, home care services, Commonwealth Home Support Programme services and flexible care services through which short-term restorative care is provided.
National Aboriginal and Torres Strait Islander flexible care program will have assessment contacts under the Quality Framework.
Key changes under the new Commission Act and Rules
For information about key changes impacting providers please see our Key Changes page where you can access fact sheets including the following:
What is an assessment contact?
Assessment contacts are activities conducted by the Aged Care Quality and Safety Commission (Commission) to monitor the quality of care and services provided through aged care services. Assessment contact means any form of contact other than a site audit, review audit or quality review between the Commission or a quality assessor and the provider of the service.
Determining the arrangements for assessment contacts is a regulatory decision made by the Commission, this includes determining when an assessment contact will be conducted and for what purposes. Assessment contacts can be made with notice to a provider (announced) or without notice to a provider (unannounced). The form that the assessment contact takes is determined by the Commission and may include phone discussions, emails or a visit.
Purposes for conducting an assessment contact
Assessment contacts may be conducted for one or more of the following purposes:
- to assess the provider in relation to the service against the applicable standards
- to assist the provider’s process of continuous improvement
- to identify whether a more detailed review is required (in the form of a review audit or quality review, as applicable)
- to give the provider additional information or education.
Notifying care recipients of the assessment contact
When an assessment contact is to be conducted by the Commission in the form of a visit there may be requirements for providers to inform care recipients of the service, and the nominated representatives about the visit. The posters and form of words to be used for this purpose are available. Please see our Letters and Posters for this information and translated versions in various community languages.
Consent to enter premises
Upon arrival at the premises of a site the Commissioner or quality assessors will request consent to enter premises and exercise search powers for the purpose of conducting an assessment contact. The quality assessors will show their credentials and give the person in charge at the premises a letter confirming the visit.
Requesting information or documents for assessment contacts
The Aged Care Quality and Safety Commissioner (Commissioner) or a quality assessor may request from a provider information or documents relating to the purposes of an assessment contact where the contact does not include a visit to the premises of the service.
For example, the Commissioner may request via email that a provider submit self-assessment information for the purpose of assessing the provider in relation to the service against the applicable standards. A provider must provide this information when requested.
The self-assessment information means written information that demonstrates a provider’s performance, in relation to the service, against the applicable standards. The Commission’s self-assessment tool is available on the Commission’s website
Outcome of an assessment contact
Where an assessment contact has been conducted, the provider will be notified in writing within 21 days after the assessment contact of any areas in which improvements must be made to meet the applicable standards including the timetable for making those improvements.
Varying arrangements for assessment contacts
The Commissioner may vary arrangements for assessment contacts that were previously notified to the provider. The Commissioner must provide written notice to the provider of these changes.
Assessment contacts for residential aged care services
Regulatory Bulletin on assessment contacts in residential aged care
Exclusion of specific dates for unannounced activities
Approved providers are able to request specific dates be excluded for unannounced activities (excluded dates) in residential aged care. Although the Commission does not guarantee visits will not occur on those days, the Commission will consider these dates in scheduling activities.
The Commission has released a Regulatory Bulletin outlining the Commission’s policy regarding approved provider requests to exclude specific dates for unannounced activities.
Determining the scope of unannounced assessment contacts
Unannounced assessment contacts are undertaken for the purposes of assessing a service’s performance against the standards, or to identify whether there is a need for a review audit of the service.
The focus of unannounced assessment contacts will be on known areas of risk which may include:
- areas identified from previous audits
- expected outcomes of the standards that are most frequently not met across the sector
- risk based campaigns such as infection control.
To determine the focus of the unannounced assessment contact, the assessment team will interview the person in charge of the service which includes asking the following questions to identify key areas of risk:
- Have there been any adverse findings by another regulatory agency or oversight body in the last 12 months? (e.g. Healthcare complaints commission or similar, Food safety authority, Workcover etc).
- What trends do your complaints data show you?
- How many care recipients are receiving pressure area care?
- Have there been any medication incidents in the past 6 months where a care recipient required hospitalisation or attention by a medical officer?
- How many care recipients have had falls and required medical attention in the past 3 months?
- How many care recipients are subject to physical restraint and/or chemical restraint?
- Can you tell me about incidents in the past 6 months where a care recipient or staff member has required medical attention as a result of a challenging behaviour from a care recipient?
Current focus of unannounced assessment contacts
The expected outcomes that are the current focus of unannounced assessment contacts and are most frequently not met across the sector are:
- Expected outcome 1.6 Human resource management
- Expected outcome 1.8 Information systems
- Expected outcome 2.4 Clinical care
- Expected outcome 2.7 Medication management
- Expected outcome 2.8 Pain management
- Expected outcome 2.11 Skin care
- Expected outcome 2.13 Behavioural management
- Expected outcome 3.2 Regulatory compliance
- Expected outcome 3.6 Privacy and dignity
- Expected outcome 4.4 Living environment
This information is for the period of July 2018 to October 2018 and is current as at 19 November 2018.
Assessment contacts with home services
If a provider has services that deliver home care, the Commonwealth Home Support Program or short term restorative care, the Commissioner may conduct assessment contacts to the services at the same time.