For question 1.1.1, your response should include details about your systems and processes to: 

• identify the significant laws and statutory schemes that apply to you (e.g., local fire safety requirements for buildings comprising an approved residential care home)
• maintain compliance (e.g., scheduling safety checks)
• identify if non-compliance has occurred (e.g., reviews to identify if scheduled safety checks have been completed)
• manage any non-compliance (e.g., seeking professional advice either internally or externally)   

You may also include attachments to support your response (e.g., policies that identify contacts and escalation points for compliance issues or evidence of having a lawyer on retainer).

If you need to complete question 1.1.3, your explanation of past non-compliance with any Commonwealth, State or Territory law where you operate should include:

• who made the finding that you were non-compliant (e.g., ASIC)
• the nature of the non-compliance (i.e., what law you did not comply with)
• the circumstances surrounding the non-compliance
• any enforcement action taken against you due to the non-compliance
• actions taken by you to resolve the non-compliance and implement improvements
• the processes you have in place to monitor and ensure ongoing compliance with your legal obligations. 

You may also include attachments to support your response (e.g., a notice confirming you did not comply with the law).

If you need to explain a banning order or NDIS banning order, your explanation should include:

• when the order was made

• the period of effect of the order (including if it is indefinite) 

• what the order applies to (e.g., only specified NDIS activities) 

• the reasons for the order (e.g., explanation of the incident(s))

• relevant legislative references (e.g., to the National Disability Insurance Scheme Act 2013)

• any other relevant information.

If the banning order or NDIS banning order is no longer in force, also provide detail on: 

• when this occurred

• the reasons why it is no longer in force

• any relevant actions taken by you (e.g., to address previous non-compliance)

• any processes you have in place to monitor and ensure ongoing compliance with your legal obligations (e.g., to the National Disability Insurance Scheme Act 2013).

You may also include attachments to support your response (e.g., a notice relating to a NDIS banning order).

If you need to explain a suspension of a NDIS registration, your explanation should include:

• the date of effect of the suspension 

• the period of effect

• the reasons for the suspension (e.g., explanation of the incident(s))

• relevant legislative references (e.g., to the National Disability Insurance Scheme Act 2013)

• a description of the impact that the suspension had on care services provided by you, including matters related to continuity of care

• any other relevant information.

You may also include attachments to support your response (e.g. a notice relating to the suspension of your NDIS registration).

If you need to explain a revocation of a NDIS registration, your explanation should include:

• the date of effect of the revocation 

• the reasons for the revocation (e.g., explanation of the incident(s))

• relevant legislative references (e.g., to the National Disability Insurance Scheme Act 2013)

• a description of the impact that the revocation had on care services being provided, including matters related to continuity of care

• any other relevant information.

You may also include attachments to support your response (e.g. a notice relating to the revocation of your NDIS registration).

Your explanation may include:

• your experience as an associated provider, former approved provider or former registered provider

• care you have delivered under the Commonwealth Home Support Programme, NDIS or other fee for service arrangements

• your service delivery model and model of care

• the period in which you have delivered care services

• the number of people you have delivered care services to

• the locations you have delivered care services in

• matters related to quality of care

• any other relevant information.

Your explanation should be about your previous experience and performance, not that of your parent or holding company, other related companies, or franchise organisation.

You may also include attachments to support your response (e.g. an audit report, quality report, care support plan, etc.).

Your explanation may include:

• points of escalation and delegation for financial matters

• financial reporting obligations of relevant responsible persons (see your response to Part B: Suitability of responsible persons)

• existing and expected financial obligations 

• practices and procedures for financial management and governance systems

• details about any independent financial audits

• plans related to your long-term financial viability

• use of financial management software or systems

• training or qualifications of staff responsible for financial oversight

• any other relevant information. 

If you are intending to deliver care in registration Category 6, your explanation may also include:

• practices and procedures for liquidity, record and disclosure management, and financial and prudential standards.

You may also include attachments to support your response (e.g. a financial audit report, financial governance policy or strategic financial plan).

You are not required to provide any details you consider to be commercially sensitive for the purposes of your application for registration.

If you selected ‘Yes’ to question 2.2.1, you must provide details of the administration, receivership, or other insolvency processes that you have been through or are going through.

For administration, this can include:

• evidence of appointment of an administrator

• the administrator’s investigation and report

• the administrator’s statement 

• deed of company arrangement.

For receivership, this can include:

• evidence of appointment of a receiver

• receipts lodged to Australian Securities and Investments Commission (ASIC) for collected and sold secured assets

• receipts lodged to ASIC for payments made.

For other insolvency processes, this can include:

• evidence of insolvency, insolvency risks, or safe harbour arrangements

• response to and management of insolvency or insolvency risks

• documents related to a trustee’s management of your bankruptcy. 

In general, you can also include details about actions you have taken or plans you have made to address your financial viability issues. This may include revised governance arrangements, financial restructuring, or other measures that demonstrate a commitment to restoring and maintaining sound financial management. 

You do not have to repeat any information here that you have previously provided in your application for registration (e.g., see Part C: Parent or holding company), unless it is necessary to provide context. 

A financial interest in a related party or related company can include, but is not limited to:

• a loan you have made to them

• lease arrangements between you and them (e.g., if you own the premises of an approved residential care home that they lease)

• service or supplier contracts between you and them. 

Your explanation of the circumstances of any financial interests in a related party or related company can include:

• the nature of the interest (e.g., loan, lease or contract)

• terms of the financial interest (e.g., contractual obligations that may impact on your delivery of aged care services) 

• the period of the financial interest (e.g., the repayment date for a loan or period of a lease)

whether you intend to retain these financial interests or not.

You do not have to repeat any information here that you have previously provided in your application for registration (e.g., see Part C: Parent or holding company), unless it is necessary to provide context. 

A financial interest a related party or related company has in you can include, but is not limited to:

• a loan they have made to you

• management fees charged to you by them

• lease arrangements between you and them (e.g., if the related party or related company owns the premises of an approved residential care home that you lease)

• service or supplier contracts between you and them.

Your explanation of the circumstances of any financial interests a related party or related company has in you can include:

• the nature of the interest (e.g., loan, lease or contract)

• terms of the financial interest (e.g., contractual obligations that may impact on your delivery of aged care services)

• the period of the financial interest (e.g., the repayment date for a loan or period of a lease).