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Enforceable undertakings

If we come to an agreement with a provider on how to address non-compliance, we may accept an enforceable undertaking from them.

We may use an enforceable undertaking when:

  • the provider is willing and able to address non-compliance
  • there's a clear path for ensuring compliance
  • there's no immediate or severe risk of harm to people receiving aged care.

Regulatory pyramid: click on image to enlarge


 

Diagram description

Regulatory pyramid - Updates for Compliance and Enforcement Policy - November 2022

Diagram showing pyramid with four levels and notations on the left and right side

Level 1, red colour - top of pyramid

Revocation actions. Revocation of accreditation revocation sanctions, reconsideration of suitability to provide aged care, Banning orders(individuals)

Level 2, orange colour

Compliance and/or enforcement action including issuing a Compliance Notice, Requiring an Undertaking to Remedy, imposing sanctions, infringement notices, Enforceable undertakings Requirements to agree to certain matters(Notice to Agree), variation of accreditation, civil penalties, injunctions Compulsory information gathering

Level 3, yellow colour

Compliance actions including Increased frequency of performance assessment or monitoring, Caution letters, Directions for continuous improvement, Directions to take specified action(relating to complaint or provider responsibility information), Require provider to carry out internal investigation, engage independent expert and take specified action Require individual to undertake specified action Requests for information

Level 4, green colour - bottom of pyramid

Education and engagement Provider appropval for market entry Complaints resolution

Notation on left side - Commission's compliance and enforcement strategy

Arrows connect the top and bottom of the pyramid. The top level is labelled "Higher level Intervention". The bottom level is labelled "Lower level Intervention"

Notation on right side - Compliance posture

Arrows connect the top and bottom of the pyramid. The top level is labelled "Repeated/wilful non-compliance". Level 3 is labelled "Try, but do not always succeed". The bottom level is labelled "Willing to do the right thing"

An enforceable undertaking may require providers to:

  • take specific action to ensure they comply with their aged care responsibilities
  • stop specific actions so they comply with their aged care responsibilities
  • take specific actions to ensure they will comply with their aged care responsibilities in the future.

The provider can withdraw or change an undertaking at any time with our consent. We may also cancel an undertaking by writing to the provider.

If we think a provider has breached an undertaking, we may apply to court to enforce its terms.

For more information view the Compliance and enforcement policy (PDF, 1 MB)

Current enforceable undertakings

Name of organisation

Start date

View agreement

Southern Cross Care (Tasmania) 19 December 2023 Southern Cross Care (Tasmania) Voluntary Enforceable Undertaking

 

Non-current enforceable undertakings

 

Name of organisation

Start date

View agreement

Warrina Innisfail

28 April 2023

Warrina Innisfail agreement

Maranatha House

29 May 2023

Maranatha House


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