A change of ownership or governance: notify before it happens
Change of ownership or governance: the notification lines the clauses we hold attach to it, the requirements it touches with why each applies, and the evidence to keep. Each line names its clause and the edition we hold; the decision to notify stays with you.
- notification lines
- 3 possible, depending on the answers
- requirements
- 17 mapped across 4 frameworks
- questions it asks
- 4
What the clauses say: the notification lines
| To | By when | Clause | Applies |
|---|---|---|---|
| Aged Care Quality and Safety Commission | within 14 days of becoming aware question | Aged Care Act s 167 and Rules 167-5 to 167-70 | Aged care |
| NDIS Quality and Safeguards Commission | before it happens: by the earlier of becoming aware the change in ownership will occur and a step that is a necessary precondition to it | Registration Rules Rules s 13A | NDIS |
| a quality auditor (a certification audit) | a certification audit starting within 3 months of the change, or later if the Commissioner allows | Registration Rules Rules s 13BA | NDIS, when: registered by certification |
The questions it asks
4 questions- What kind? (sale of the provider or its business, merger, new parent, constitution change, restructuring practitioner or insolvency, provider ceasing)
- Date of the first step that effects it
- Is the provider a subsidiary after it?
- Does the board composition change (aged care residential or nursing and transition care)?
Each has not sure: a line resting on it stays, as a question.
What your change log usually carries for it
A date, a label of your own (a site, a role, a service, never a person's name), the date you became aware, and often a status or an owner. Paste it as it is: the type column reads words such as “ownership”, “change of ownership”, “merger”, “sale”, “acquisition” and “new parent”. The answers go in one cell as key=value pairs.
The requirements it touches, and the evidence to keep
17 rowsAged Care Quality Standards
- ACQS Rules s 15-15(4): The governing body stays accountable for all operations.
evidence to keepBoard minute on the change and oversight.
Aged Care Act 2024
- Aged Care Act s 167 and Rules 167-5 to 167-70: Section 167 lists significant changes to organisation arrangements, governance changes for providers subject to s 157, and changes to residential care homes such as ownership. Whether this change is one of those is your judgement.
evidence to keepChange-of-circumstances entry: date aware, date lodged. - Aged Care Act s 172 and Rules 172-10: Section 172 requires the suitability matters to be considered for each responsible person at least once every 12 months, with the outcome and reasons recorded; a new responsible person after the change comes into that cycle.
evidence to keepSuitability assessment per new responsible person. - Aged Care Act s 150: Financial and prudential standards apply through the change.
evidence to keepPrudential compliance check after the change. - Aged Care Act s 157: Section 157 binds a non-government provider in the nursing and transition care or residential care categories: a majority of independent non-executive members and at least one with clinical care experience, unless the board has fewer than five members and the provider serves fewer than 40 individuals, or a s 159 determination applies. (when: Does the board composition change (aged care residential or nursing and transition care))
evidence to keepBoard register after the change. - Aged Care Act s 161: A subsidiary constitution must not let directors act for the holding company. (when: Is the provider a subsidiary after it)
evidence to keepConstitution clause reviewed after the change. - Aged Care Act s 543: An entity that ceases to be a registered provider of a prescribed kind keeps the records it was required to keep for seven years after ceasing, unless it was required to transfer them. (when: the provider ceasing)
evidence to keepRecords custody arrangement after the change. - Aged Care Act s 149(g): Individuals moving to another provider need their records transferred within 28 days of a request. (when: the provider ceasing)
evidence to keepRecords transfer log per individual.
NDIS Practice Standards
- NDIS Practice Standards Core 9.2: The governing body puts in place a defined structure for its responsibilities.
evidence to keepGovernance structure chart after the change. - NDIS Practice Standards Core 16.4: Participants receive support without interruption.
evidence to keepContinuity arrangement for participants through the change. - NDIS Practice Standards Core 9.8: Conflicts of interest arising from the new ownership are identified and managed.
evidence to keepConflict of interest register after the change. - NDIS Practice Standards Core 16.5: Where supports stop, alternative arrangements are explained to and agreed with each participant. (when: the provider ceasing)
evidence to keepRecord of alternative arrangements agreed with each participant.
NDIS Provider Registration Rules
- Registration Rules Rules s 13A: A governance change from a change of ownership is due before it happens: by the earlier of awareness and any precondition step.
evidence to keepNotification entry dated before the first step of the change. - Registration Rules Rules s 13BA: Rules s 13BA: where a certification-assessed provider has a significant organisational or governance change resulting from a change in ownership, a certification audit starts within 3 months of the change (or later if the Commissioner allows), unless a mid-term audit is under way or registration ends in those 3 months. (when: registered by certification)
evidence to keepAudit booking with the start date inside 3 months. - Registration Rules Rules ss 9 and 10: Provider and key personnel suitability continues after the change.
evidence to keepSuitability declarations for new key personnel. - Registration Rules ss 73Q and 73R and s 45B: Records are kept, including after registration ends.
evidence to keepRecords custody arrangement. - Registration Rules ss 73F, 73G, 73H and 73J: Every condition of registration continues through the change, including any condition on the certificate.
evidence to keepConditions of registration checked against the new structure, dated.
Check one changeSee the specimen registerThe one-page sample register