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Flexible Funds - program consolidation

Flexible Fund Guidelines - Aged Care Workforce Flexible Fund

1. Introduction
2. Eligibility
3. Probity
4. Fund Application Processes
5 Conditions of Funding
6 Fund Procurement activities
Glossary of Terms
Attachment A

PDF printable version of the Flexible Fund Guidelines - Aged Care Workforce Flexible Fund (PDF 280 KB)

1. Introduction

1.1. Fund Background

In the 2011 Federal Budget the Australian Government allocated some $302 million over the next 4 years to the Aged Care Workforce Fund (the Fund). The Fund consolidates the activities of four existing programs and provides a large flexible funding pool for initiatives aimed at improving the quality of aged care by developing the skills of the aged care workforce through annual grant funding rounds, unsolicited or oneoff activity funding, and procurement.




Programs consolidated under the Fund include:

• Three measures announced as part of the National Health and Hospital Workforce package in the 2010‐11 Budget:
  • Nurse Practitioner – Models of Practice in Aged Care; and
  • Initiatives under the Supporting a Professional Aged Care Workforce Program (SPACW) (including Building Nurse Careers):
    • Aged Care Workforce Vocational Education and Training
    • Aged Care Enrolled Nurse Training
    • Aged Care Nursing Clinical Placement
    • Aged Care Nurse Graduate Placement
    • Aged Care Nursing Scholarships
    • Teaching Nursing Homes (TNHs)
  • Dementia Initiative ‐ Dementia Care Essentials – Dementia Skills for Aged Care Workers Program; and
  • Indigenous aged care workforce training activities under the National Partnership on Indigenous Economic Development.

The Fund is intended to be flexible enough to continue to support the types of activities that have previously been supported under the various consolidated programs (subject to demonstrated evidence of their effectiveness and available funding), as well as new aged care workforce priorities that may arise over time.

Grant funding round timeframes will be advertised annually on the Department’s website at:
www.health.gov.au

1.2. Fund Purpose, Scope, Objectives and Outcomes

Purpose

The Fund will enable the Australian Government to support activities that promote training and knowledge transfer, capacity building and innovation and reform within the aged care sector to improve the quality of aged care by developing the skills of the aged care workforce.

The establishment of the Fund will reduce the demand on resources across the department, reduce red tape, provide increased flexibility to respond to emerging issues and anticipate change, and deliver better value for money, quality and evidence based funding.

Scope

The Fund will support workforce activities that aim to improve the quality of aged care. Activities undertaken as part of the Fund will also complement broader initiatives in the aged care, vocational education and tertiary education workforce spheres and include:

• The National Workforce Development Fund overseen by the Department of Education, Employment and Workplace Relations (DEEWR);
• Work being undertaken by Health Workforce Australia (HWA); and
• Other workforce activity across the Department of Health and Ageing, Australian Government and aged care, vocational education and tertiary education workforce sectors more broadly.

Aim

The Fund aims to improve the quality of aged care by developing the skills of the aged care workforce through:

• Education, training and knowledge transfer;
• Building the capacity of the aged care sector to recruit, manage, develop and retain appropriately skilled staff; and
• Innovation and reform in workforce development.

This will be achieved through:

• Facilitation of a range of training, education and supports e.g. resources and best practice guidelines;
• Delivering initiatives that support and facilitate collaborations between the aged care, acute care, training, education and research sectors;
• Targeted workforce training and development strategies for priority target groups, specifically services in rural and remote areas and culturally diverse care workers including Aboriginal and Torres Strait Islanders; and
• Responding to emerging issues and supporting the introduction of innovative practices in aged care.

Policy development based on consultation and evidence‐based research will inform the implementation of these initiatives.

Objectives

The objectives of the Fund are to support:

• A skilled aged care workforce through the funding of training, workforce development and specialist workforce activities;
• Improved recruitment and retention of workers in aged care;
• Enhanced career pathways for workers in aged care;
• Effective workforce strategies for more challenging demographic and geographic sectors, e.g. workers located in rural and remote areas and culturally diverse care workers including Aboriginal and Torres Strait Islanders;
• Promote good practice in Vocational Education and Training (VET) and university education in aged care;
• Robust evaluation and continuous improvements strategies; and
• Build partnerships across aged care, training, education and research sectors.

Priorities

The Fund aims to improve the quality of aged care by developing the skills of the aged care workforce through:

• Knowledge transfer;
• Capacity building; and
• Innovation and reform.

This will be achieved through:

• Facilitation of a range of training, education and supports;
• Delivering initiatives that support and facilitate collaborations between the aged care, training, education and research sectors;
• Targeted workforce training and development strategies for priority target groups, specifically Aboriginal and Torres Strait Islander people and services in rural and remote areas; and
• Responding to emerging issues and support the introduction of innovative practices in aged care.

The best available evidence and research will inform the implementation of these initiatives.

Future priorities under the Fund will be determined in consultation with the Aged Care Workforce Committee (ACWC), ensuring consistency with the aims and objectives of the Fund.

As funding becomes available under the Fund, it will be allocated by the Minister for Mental Health and Ageing for Fund Priorities and activities, including but not limited to those listed at Attachment A, and then deployed as set out in these guidelines at Section 4.

The funding committed to particular Fund Priorities and supported activities may be varied over time, to take into account:

• Existing funding commitments;
• Evidence, including from evaluation activities, of the effectiveness, efficiency and appropriateness of Fund activities; and
• Emerging ageing and aged care challenges.

1.3. Roles and responsibilities

Minister:

The Minister for Mental Health and Ageing will be responsible for reviewing/ setting priorities for the Fund. These priorities will at all times reflect the aims and objectives of the Fund but may change over time to address emerging issues that will support more effectively Aged Care Workforce activities.

Department of Health and Ageing:

The Department will be responsible for the development and dissemination of all application documentation under the Fund and for ensuring that such documentation is in accordance with the Fund aims and objectives. The Department will be responsible for notifying applicants of the outcomes of any funding arrangement process and will be responsible for responding to queries in relation to the application process, and for resolving any uncertainties that may arise in relation to application requirements.

The Department will also manage the funding arrangements under the Fund and undertake all assessment processes.

The Department will be responsible for management and monitoring requirements of successful applicants in any process under the Fund such as:

• Developing funding agreements or any alternative contractual arrangement;
• Monitoring the performance of projects to ensure the conditions of the contractual arrangement are met;
• Assessing performance and financial reports and undertaking follow up activity as necessary;
• Making payments on acceptance of milestone reports as specified in the contractual arrangement; and
• Providing feedback to funded organisations on the overall project following the conclusion of activities.

Aged Care Workforce Committee:

The Aged Care Workforce Committee’s (the Committee) role is to assist the Department in formulating advice to the Minister for Mental Health and Ageing on how best to meet the Australian Government’s aged care policy objectives in key areas in relation to workforce, and comprises representatives from the aged care sector, nursing and medical professions, employee organisations and the education and training sectors. The Committee has recently been enhanced by the inclusion of additional members to provide specific knowledge and expertise in relation to Aboriginal and Torres Strait Islander aged care workforce issues and broader workforce planning and development activities being undertaken by the Government in the tertiary and vocational education sectors.

The Department will consult with the Committee to ensure that activities undertaken under the Fund are appropriate, needs‐driven and consistent with and complementary to those being undertaken for the aged care workforce by other government agencies (such as the Department of Employment, Education and Workplace Relations, Health Workforce Australia and the Community Services and Health Industry Skills Council). These agencies are represented on the Committee.

Applicants:

Entities applying for grants under the Fund are responsible for the development of their application. As part of any application process entities submitting applications must ensure all information they provide is accurate.

The Department will enter into contractual arrangements for funding under the Fund with single entities only. Where two or more entities seek funding as a consortium, a member entity must be appointed as the lead entity that will enter into any subsequent contractual relationship with the Department. The lead entity must be identified in any application for funding and that application should identify all members of the proposed consortium.

Applicants must be prepared to meet the costs associated with the development and lodgement of their application.

Funded Applicant:

The successful applicant is responsible for the efficient and effective delivery of the service in accordance with the obligations contained in any funding agreement or contractual arrangement entered into under the Fund. Successful applicants are also responsible for:

• Ensuring they meet the specifications of the funding agreement or other contractual arrangement;
• Ensuring the project is managed in a cost effective and efficient manner;
• Maintaining contact with the Department and advising of any emerging issues that may impact on the success of the project;
• Reporting on project performance and expenditure in accordance with the contractual obligations; and
• Assisting with evaluation activities as necessary.

1.4. Fund Timeframe

The Fund is an ongoing initiative available from 1 July 2011.

Timeframes for specific activities under the priorities may vary depending upon the grant process and the expected outcomes of the individual activities. Timeframes for activities associated with the grant processes will be clearly specified in the application package for that process.

1.5. Fund Value

The total Value of funds available under the Aged Care Workforce Fund is $302 million over four years commencing 1 July 2011 (covering the period from 2011‐12 to 2014‐15).

The Department will review priorities under the Fund on an annual basis and provide advice to the Minister for Mental Health and Ageing on emerging needs, to allow for the adjustment of the funding allocation against priorities and to ensure that emerging aged care workforce challenges are being addressed.
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2. Eligibility

2.1. Who Can Access the Fund?

Applicants are encouraged from a wide range of non government and government entities. Applicants do not have to have a prior funding relationship established with the Department, but must be a legal entity to be eligible for funding for example:

1. Incorporated Associations (incorporated under State/Territory legislation, commonly have 'Association' or 'Incorporated' or 'Inc' in their legal name);
2. Incorporated Cooperatives (also incorporated under State/Territory legislation, commonly have ‘Cooperative' in their legal name);
3. Companies (incorporated under the Corporations Act 2001 ‐ maybe not‐for‐profit or for‐profit proprietary company (limited by shares or by guarantee) or public companies);
4. Aboriginal Corporations (incorporated under the Aboriginal and Torres Strait Islander Act 2006 and administered by the Office of the Registrar of Aboriginal and Torres Strait Islander Corporations);
5. Organisations established through a specific piece of Commonwealth or State/Territory legislation (many public benevolent institutions, churches, universities, unions etc);
6. Partnerships;
7. Trustees on behalf of a Trust;
8. State/Territory or Local Governments; and
9. Where there is no suitable alternative, an individual or ‐ jointly and separately – individuals.

Should a funding process have restricted eligibility requirements (such as the requirement to be listed as an Approved Provider of aged care services) this will be clearly specified in the application package for that process.

2.2. What is Eligible for Funding?

To be considered for funding, applications must propose to undertake activities that meet the aims, objectives and priorities for the Fund, and where applicable comply with the terms of the application documentation.

Matters such as:

• Project activities/items that will be considered eligible;
• Any funding caps (minimum and/or maximum limits);
• any partnership funding requirements, e.g. if more than one organisation will be involved in the project, one organisation must be identified as the lead organisation and an authorised representative of the lead organisation must sign the Application Form;
• Any restrictions on Start/End dates for activity, e.g. projects must be completed within the stated Financial Year/s;
• Any restrictions around whether funding will be provided only for new or additional work; and
• Any restrictions on when funding must be expended by, e.g. all funding will be available from [insert date] and must be expended by [insert date];

will be included in any Invitation to Apply or Approach to Market documentation, as required.
Retrospective items/activities will not be funded by the Fund (NB: Unless allowed under the terms of the Fund and agreed by the Department).

Further details on eligibility are at Attachment A to these Guidelines.

3. Probity

The Australian Government is committed to ensuring that the process for providing funding under the Aged Care Workforce Fund is transparent and in accordance with published Fund Guidelines. Individual grant processes will contain detailed guidance on the specific requirements for that process and these will not be inconsistent with the Fund Guidelines.

Note: Fund Guidelines may be varied from time‐to‐time by the Australian Government as the needs of the Fund dictate. Amended Fund Guidelines will be published on the Department’s website in advance of any grants process.

3.1. Conflict of Interest

A conflict of interest may exist, for example, if the applicant or any of its personnel:

• Has a relationship (whether professional, commercial or personal) with a party who is able to influence the application assessment process, such as a Department staff member;
• Has a relationship with, or interest in, an entity, which is likely to interfere with or restrict the applicant in carrying out the proposed activities fairly and independently; or
• Has a relationship with, or interest in, an entity from which they will receive personal gain as a result of the granting of funding under the Aged Care Workforce Fund.

Each applicant will be required to declare as part of their application, existing conflicts of interest or that to the best of their knowledge there is no conflict of interest, including in relation to the examples above, that would impact on or prevent the applicant from proceeding with the project or any funding agreement it may enter into with the Australian Government.

Where an applicant subsequently identifies that an actual, apparent, or potential conflict of interest exists or might arise in relation to this application for funding, the applicant must inform the Department in writing immediately.

3.2.Confidentiality and Protection of Personal Information

Each applicant will be required to declare as part of their application, their ability to comply with the proposed contractual arrangement to be entered into with the Australian Government.

The Protection of Personal Information Clause requires the funded applicant to:

• Comply with the Privacy Act (1988) (‘the Privacy Act’), including the 11 Information Privacy Principles (IPPs), as if it were an agency under the Privacy Act, and the National Privacy Principles (NPPs);
• Refrain from engaging in direct marketing (s 16F of the Privacy Act), to the extent that the NPP and/or s 16F apply to the Funded organisation; and
• Impose the same privacy obligations on any subcontractors it engages to assist with the Project.

The Confidentiality Clause in any subsequent contractual arrangement imposes obligations on the funded applicant with respect to special categories of information collected, created or held under the Agreement. The funded applicant is required to seek the Commonwealth’s consent in writing before disclosing Confidential Information.

The specific clauses governing the confidentiality provisions of any grant process under this Fund will be contained in the funding agreement that will form part of any grant application documentation available to potential applicants.
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4. Fund Application Processes

Access to funding from the Aged Care Workforce Fund will be available via a variety of means. The Department may undertake any of the following to achieve the Fund aims, objectives and priorities.

4.1 Open Grant Rounds

Regular competitive funding rounds which open and close to applications on nominated dates, with eligible applications being assessed against the selection criteria set down for the initiative and then prioritised against competing, eligible applications for the available funding will be undertaken to achieve the Fund aims, objectives and priorities.

Entities wishing to apply for funding will need to demonstrate (but not limited to) the following:

• Identified need;
• Relevance to current government policies and priorities;
• Value for money;
• Capacity to deliver quality outcomes.

4.2 Targeted Grant Rounds

Funding will also be made available through targeted or restricted competitive funding rounds from time to time to meet the aims, objectives and priorities for the Fund. These grant rounds will be open to a small number of potential funding recipients based on the specialised requirements of the initiative or project under consideration.

This targeted funding will primarily support improvements to aged care services which are managed and operated by Aboriginal and Torres Strait Islander communities and/or which have a significant number of Aboriginal and Torres Strait Islander care recipients.

4.3 Establishment of Preferred RTO Arrangements

The Department may also undertake an open process to identify high performing RTOs in order to establish a listing of preferred training providers to receive subsequent grants under the Fund. The objective of such a process is to assure consistent high quality training delivery. The listing would operate for the period to 30 June 2015 and would be reviewed and renewed prior to the expiry date. The scope of any such listing would be consistent with the aims, objectives and priorities of the Fund.

4.4 Fund Under‐expenditure

Funding allocations will be monitored throughout the year with potential underspends identified and allocated to activities identified as being the most appropriate method of meeting the aims and objectives of the Fund. Applications identified as being able to meet the Fund aims and objectives, and not receiving funding through an open or targeted grants round may also be prioritised and short‐listed for consideration should such underspends be identified.

Under expenditure may also be used to fund unsolicited proposals or one‐off grants where such proposals will meet the objectives and priorities of the Fund.

From time to time, the Australian Government may direct additional or supplementary funding to services under the Fund. For example providing targeted services to areas where evidence shows that there is a need.

These Fund Guidelines will form part of the Approach to Market documentation and must be met in all circumstances where grant or procurement arrangements are entered into under the Fund.

In urgent or unforeseen circumstances the Minister or Departmental Delegate has the right to waive eligibility criteria.

4.5 Application Processes

A number of discrete activities will be funded under the Fund. Each funding process will have comprehensive Invitation to Apply or Approach to Market documentation developed that will detail at a minimum the following:

• How the initiative meets the aims, objectives and priorities of the Fund;
• Eligibility criteria ‐ as specified in Section 2 above;
• Assessment criteria – specifically relating to the activities being funded;
• Assessment process – as specified in Section 1.3 above;
• Funding available;
• Timeline for funding;
• Proposed contractual arrangements – as specified at Section 5;
• Procedures for submitting an application;
• Contact officer for applicants; and
• Fund Guidelines.

A full suite of documentation will be provided with each funding process. Where possible a minimum of one months notice will be given to potential applicants of any proposed funding process. Such notice including the broad objectives of the funding round, the level of funding available and the timeframe for funding will be published on the Department’s internet site at: www.health.gov.au.

4.5 Decisions

Approval of funding

An Assessment Panel/s will be established by the Department to assess applications against the assessment criteria and select the successful applicants. The Assessment Panel/s will comprise Departmental officers.

Following an assessment of the applications by the Fund Assessment Panel for that process, advice will be provided to the Funding Approver (the Approver) on the merits of the applications including value for money. The final decision about the approval of a grant will be made by the relevant Minister or agency Chief Executive (including a Chief Executive’s delegate).

The Approver will consider whether the proposal will make an efficient, effective, ethical and economical use of Australian Government resources, as required by Australian Government (Commonwealth) legislation, and whether any specific requirements will need to be imposed as a condition of funding. Funding approval is at the discretion of the Approver.

Advice to applicants

Applicants will be advised by letter of the outcome of their application. Letters to successful applicants will contain details of any specific conditions attached to the funding. In accordance with the Commonwealth Grants Guidelines grant approvals will also be listed on the Department’s website. The Department will notify all unsuccessful applicants.

Complaint handling

DoHA’s Procurement and Funding Complaints Handling Policy applies to complaints that arise in relation to a procurement or funding process. It covers events that occur between the time the request documentation is released publicly and the date of contract execution, regardless of when the actual complaint is made. DoHA requires that all complaints relating to a grant or procurement process must be lodged in writing. Further details of the policy are available on the 'About Us' page on the Department’s internet site (www.health.gov.au). Any enquiries relating to funding decisions for this Fund, should be directed to the Aged.Care.Workforce.Fund@health.gov.au .

5 Conditions of Funding

5.1 Contracting arrangements

Successful applicants funded under the Fund will be required to enter into a funding agreement or alternative contract arrangement with the Commonwealth (represented by the Department).

A copy of the proposed contractual arrangement will form part of any material that forms the basis of a grant process under this Fund. Copies of the Department’s standard Funding Agreement template is available as reference material on the Department’s internet site at: www.health.gov.au

5.2 Specific conditions

There may be specific conditions attached to the funding approval required as a result of the appraisal process or imposed by the Approver. These will be identified in the offer of funding or during contract negotiations.

5.3 Payment arrangements

Payments will be made on achievement of agreed milestones.

Where payments are linked to the achievement of specific milestones, payments will only be made after the Department is satisfied that those milestones and associated obligations of the funding agreement or contractual arrangement have been met.

5.4 Reporting requirements

Funding recipients will be required to provide progress reports on the agreed milestones. These progress reports may include funding acquittal requirements. The timing of progress reports will be negotiated and form part of the final contractual agreement. The format and framework for providing progress reports will take into account the size, cost and relative risks of the initiative/ project being undertaken by the funding recipient.

5.5 Monitoring

The funding recipient will be required to actively manage the delivery of the project. The Department will monitor progress against the funding agreement or contract through assessment of progress reports and by conducting site visits as necessary.

5.6 Evaluation

An evaluation by the Department will determine how the funding contributed to the objectives of the Fund. Funding recipients may be required to provide information to assist in this evaluation for a period of time, as stipulated in the funding agreement or contract, after funding has been provided.

6 Fund Procurement activities

Funds appropriated for the purpose of the Aged Care Workforce Fund may also be used for the procurement of work directly related to the purpose of the Fund e.g. Program Evaluation. Such Procurements will be undertaken in accordance with the requirements of the Commonwealth Procurement Guidelines and will be for purposes that are consistent with the aims, objectives and priorities of the Fund.

Glossary of Terms

Applicant – means any entity that applies for funding under the Flexible Fund.

Flexible Fund – means the “Aged Care Workforce Fund” as described in Section 1 of these Guidelines.

Funded Applicant – means any entity that has been successful in a grant process under the Flexible Fund.

Funding Approver (Approver) – means the officer or individual identified in any grant documentation as the decision maker in any process under the Fund.

Program – means a pre existing grants program that has been subject to consolidation into the Fund.

Approach to Market – means any invitation by the Department to an organisation/s to apply for funding under the Fund, this can refer to a grant or procurement process.
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Attachment A

Priority: Knowledge transfer

Potential Activities:

Activities under this priority may include:

• Programs for aged care workers to undertake training and education opportunities to gain industry recognised qualifications;
• Programs providing opportunities for aged care workers to undertake training leading to qualifications as an enrolled nurse;
• Programs aimed at encouraging more people to remain in, enter or re‐enter aged care nursing;
• Programs for Aboriginal and Torres Strait Islander aged care workers in urban, rural and remote locations to undertake traineeships, training and education opportunities to develop knowledge and gain industry recognised qualifications in aged and community care;
• Programs to support the development of the aged care workforce delivering services to Aboriginal and Torres Strait Islanders;
• Development of resources to support training and development of workers in Aboriginal and Torres Strait Islander aged care services; and
• Workforce training and development strategies for priority target groups, specifically Aboriginal and Torres Strait Islander people and services in rural and remote areas.

Broad assessment requirements:

The first level of assessment for any Grant arrangement will be to determine the capacity of the applicant and the proposed project to meet the purpose, scope, objectives and outcomes of the Fund and the priority to support for people from culturally and linguistically diverse backgrounds.

A comprehensive set of documentation detailing the specific criteria of this process will form part of the
Invitation to Apply process.

The second level of assessment will be against a range of more specific criteria which may include, but is not limited to:

• The relevance and effectiveness of the proposal to address the aims and objectives of the activity being undertaken;
• Demonstration that the project is evidence based, sustainable, and well targeted towards the nominated community/ies;
• Complete details of the Project Plan and Budget Projections;
• Demonstration of partnerships with other organisations to maximise the outcomes of the project; and
• Details of the applicant’s capacity to implement the project within the proposed timeframe.

Priority: Capacity Building

Potential Activities:

Activities under this priority may include:

• Programs to increase the capacity of the aged care sector to provide quality clinical training placements in order to encourage more student nurses to consider a career in aged care;
• Programs to increase the capacity of the aged care sector to provide quality nurse graduate placements in order to support those that choose a career in aged care;
• Programs to demonstrate effective, economically viable and sustainable models of practice, facilitate the growth of the aged care nurse practitioner workforce, and improve access to primary health care for clients of residential and community aged care services through Nurse Practitioners initiatives; and
• Programs to strengthen links between the aged care sector and research and training institutions across a broad range of student disciplines through Teaching Nursing Homes.

Broad assessment requirements:

The first level of assessment for any Grant arrangement will be to determine the capacity of the applicant and the proposed project to meet the purpose, scope, objectives and outcomes of the Fund and the priority to support for people from culturally and linguistically diverse backgrounds.

A comprehensive set of documentation detailing the specific criteria of this process will form part of the Invitation to Apply process.

The second level of assessment will be against a range of more specific criteria which may include, but is not limited to:

• The relevance and effectiveness of the proposal to address the aims and objectives of the activity being undertaken;
• Demonstration that the project is evidence based, sustainable, and well targeted towards the nominated community/ies;
• Complete details of the Project Plan and Budget Projections;
• Demonstration of partnerships with other organisations to maximise the outcomes of the project; and
• Details of the applicant’s capacity to implement the project within the proposed timeframe.

Priority: Innovation and Reform

Potential Activities:

Activities under this priority may include programs/mechanisms to:

• Identify and respond to emerging issues and support the introduction of innovative practices in aged care.

Broad assessment requirements:

The first level of assessment for any Grant arrangement will be to determine the capacity of the applicant and the proposed project to meet the purpose, scope, objectives and outcomes of the Fund and the priority to support for people from culturally and linguistically diverse backgrounds.

A comprehensive set of documentation detailing the specific criteria of this process will form part of the Invitation to Apply process.

The second level of assessment will be against a range of more specific criteria which may include, but is not limited to:

• The relevance and effectiveness of the proposal to address the aims and objectives of the activity being undertaken;
• Demonstration that the project is evidence based, sustainable, and well targeted towards the nominated community/ies;
• Complete details of the Project Plan and Budget Projections;
• Demonstration of partnerships with other organisations to maximise the outcomes of the project; and
• Details of the applicant’s capacity to implement the project within the proposed timeframe.

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