Quality Use of Pathology Program

QUALITY USE OF PATHOLOGY PROGRAM

PROGRAM GUIDELINES

October 2012

TABLE OF CONTENTS

Grant Program Process Flowchart

1.Introduction

2.Eligibility

3.Probity

4.How to Apply

5.Appraisal

6.Decisions

7.Conditions of Funding

Grant Program Process Flowchart

The Grant Program Process Flowchart below outlines the roles and responsibilities of each party throughout each stage of the funding process and identifies what is involved in applying, processing and managing a grant application.

1. Introduction

The Quality Use of Pathology Program Guidelines (the Guidelines) are designed to provide details about the Quality Use of Pathology Program (QUPP).

1.1. Program Background

The Australian Government aims to ensure access to high quality, safe, clinically relevant and cost effective pathology services.

The QUPP was established in 1999 under the pathology Memorandum of Understanding (MOU) between pathology stakeholders and the Australian Government (represented by the Department of Health and Ageing). There has been a continued commitment to the Quality Use of Pathology Program in the recent Pathology Funding Agreement (PFA) signed in April 2011. Program funding of up to $2 million per annum is allocated for the 2012-13 to 2015-16 financial years under the PFA towards supporting innovative approaches to improving the quality of pathology services.

The QUPP has been guided by a Departmentally-appointed consultative committee since its inception. The membership of the Quality Use of Pathology Committee (QUPC) comprises nominees from peak bodies and organisations representing the pathology profession, medical practitioners, tertiary education, pathology consumers and representatives from the Department.

Further information on the QUPP can be found on the Department of Health and Ageing website at www.health.gov.au/qupp or by contacting the Director, Pathology Quality Section at .

1.2 Program Purpose, Scope, Objectives and Outcomes

The goal of the Quality Use of Pathology Program (QUPP) is to achieve improvement in health and economic outcomes from the quality use of pathology in health care, through the pursuit of better practice amongst requesters/referrers and providers of pathology services and knowledgeable and engaged consumers.

The program is structured into three key areas of focus with the following key objectives:

• Quality Consumer Services: To develop and improve consumer-focussed, accessible and coordinated services that promote informed choice and meet consumer needs;
• Quality Referrals (Requesting/Ordering): To support referral practices that are informed and facilitated by best practice professional relationships and protocols between referrers and providers; that are informed by evidence; that maximise health benefits; and that inform and engage consumers; and
• Quality Pathology Practice: To support professional practice standards that meet consumer and referrer needs and provide evidence-based, best practice, quality-assured services that are safe, cost effective and efficient.

In recent years there has also been an increasing focus on the funding of initiatives aimed at developing and testing strategies to minimise error and promote patient safety, elements of which may address one or more areas of focus. This work has had strong relevance to the strategic focus of the National Pathology Accreditation Advisory Council.

1.3. Roles and responsibilities

The Grant Program Process Flowchart on page three outlines the roles and responsibilities of each party.

The allocation of QUPP funding will be determined by the Department and advice from the QUPC will inform the Department’s decision making process.

The Funding Approver for the QUPP is the Assistant Secretary, Primary Care, Diagnostics and Radiation Oncology Branch, Medical Benefits Division. The Minister for the Department of Health and Ageing will not be required to approve funding.

The Department will:

• manage the funding round process, including the approval of funding agreements and deliverables, and will also manage the funding agreements;
• liaise with all applicants;
• manage the QUPC (i.e. provide secretariat support and consider the expert technical advice in relation to applications); and
• inform all applicants about whether or not their applications have been successful.

QUPC members will not have voting rights and will only provide technical commentary on project proposals to allow the Department to more effectively assess applications in QUPP Funding Rounds. QUPC members will not be involved in the assessment of project applications or making recommendations for allocation of QUPP funding. All QUPC members providing technical advice will be required to sign/ declare a conflict of interest. Where there may be a conflict of interest, or a perceived conflict of interest, QUPC members will not provide commentary on relevant QUPP funding applications. (See Part 3, Probity.)

The QUPP Overarching Principles and Guiding Assumptions document will be used as a tool to assist with the assessment of applications for QUPP funding and ensures proposals are consistent with program priorities. The guiding principles and assumptions have been developed by the department and the QUPC in consultation with the broader pathology, requester and consumer stakeholder community. This document is titled QUPP Overarching Principles and Guiding Assumptions and can be viewed at: http://www.health.gov.au/internet/main/publishing.nsf/Content/qupp-qupp-workplan.html

1.4. Anticipated key dates

The following table outlines the anticipated timeline for the 2012-13 QUPP funding round.

2. Eligibility

Eligibility for QUPP funding will only be considered within the framework of the Principles and Objectives of QUPP.

2.1. Who is eligible to apply for funding?

The types of organisations and agencies that may apply for funding include:

• Professional colleges;
• Non-profit/charitable organisations;
• For profit organisations;
• Universities or other Higher Education organisations; and
• Private companies.

Applicants should ensure that they are eligible to enter into a funding agreement with the Australian Government, Department of Health and Ageing before submitting their application. A copy of the Australian Government (Commonwealth) Standard Funding Agreement is attached to the Invitation to Apply for Funding documentation on the Department’s website at: http://www.health.gov.au/qupp.

2.2. What is eligible for funding?

Applications which will be considered for funding should demonstrate that the proposal will contribute towards the improvement of the quality of pathology services.

Priority will be given to proposals that:

• reduce risks in pathology requesting /testing /reporting processes;
• improve pathology service provision and /or access to pathology in regional and rural areas of Australia;
• lead to enhanced decision support mechanisms;
• streamline or coordinate the education of medical students and resident medical officers with respect to the cost-effective use of diagnostic pathology services; or
• improve linkages between patient health information databases that incorporate pathology test results, particularly with a view to examining the impact of pathology testing on clinical outcomes.

Previous proposals for funding which addressed the three key objectives were categorised in the following themes:

• risk minimisation strategies, including incident monitoring
• quality issues related to emerging technologies
• promoting evidence-based practice in pathology requesting and reporting (with a possible focus on new/junior requester groups)
• Pathology requesting and reporting and consumer focus
• e-Health capability (particularly those aspects affecting quality and safety)
• workforce capacity and competence
• consumer information strategies
• access initiatives/awareness-raising of the special needs of high priority target groups
• communication and stakeholder engagement to promulgate QUPP investment outcomes.

Variations to the eligibility requirements or to expand the target groups or activities will not be considered for the QUPP 2012-13 funding round.

Consideration will be given for proposals under the above mentioned themes in addition to current priorities, once proposals addressing current priorities have been assessed.

Proposals related to pathology workforce and point of care testing issues may be considered after the other priority areas mentioned above.

In addition, applications considered for funding should comply with the following requirement:

• 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 funding application form.

Both short-term and long-term projects may be considered. However, the funding agreement period(s) will depend on the applications for funding received by the Department.

2.3 Activities that will not be considered for funding include:

• Projects or activities that duplicate existing resources or initiatives;
• Projects or activities that do not demonstrate a broader benefit to the pathology sector and are only advantageous to a sole individual or organisation with no impact on the wider community;
• Projects or activities with a timeframe greater than 30 months;
• Projects that cannot be subject to peer review;
• Proposals for IT upgrades or infrastructure;
• Capital or asset expenditure;
• International travel; and
• Retrospective items / activities.

Applications for funding conferences and meetings are not in scope for the QUPP 2012-13 funding round. Separate applications can be made directly to the Pathology Quality Section for assessment on a case by case basis in view of the conference criteria that will be available on the QUPP website shortly.

3. Probity

The Australian Government is committed to ensuring that the process for providing funding under the Quality Use of Pathology Program is transparent and in accordance with published Guidelines.

QUPC members will provide technical expertise only as part of the Department’s assessment of funding applications. Any committee members with a real or perceived interest in a funding application will be precluded from providing any input on that application. In addition, any member, as a nominee of an organisation on the QUPC that has submitted an application, will be precluded from providing any input to the Department in the assessment of that application.

The Department will ensure that all staff involved in the assessment of applications will adhere to the Chief Executive Instructions (CEI) in relation to probity and conflict of interest.

The Department will ensure that there is an appropriate separation of duties (i.e. anyone involved in the assessment of funding applications cannot approve them) and that the appropriate levels of transparency and probity are met. For further information on the CEI refer to http://www.finance.gov.au/ foi/other-information/docs/CEI_and_OG.pdf

Note:Guidelines may be varied from time-to-time by the Australian Government as the needs of the program dictate. Amended Guidelines will be published on the Department’s website.

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 organisation, 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 organisation from which they will receive personal gain as a result of the granting of funding under the Quality Use of Pathology Program.

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.

All members of the Quality Use of Pathology Committee and appropriate Departmental staff will be required to comply with and sign conflict of interest forms prior to any consideration of submissions. The Department will manage this process in conjunction with the Chair of the QUPC.

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 following Clause: 1 Interpretation (1.1), Confidential Information and Personal Information in the funding agreement it may enter into with the Australian Government.

The Protection of Personal Information Clause requires the 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 theapplicant; and
• impose the same privacy obligations on any subcontractors it engages to assist with the Project.

The Confidentiality Clause imposes obligations on the applicant with respect to special categories of information collected, created or held under the Agreement.

The applicant is required to seek the Commonwealth’s consent in writing before disclosing Confidential Information. Further information can be found in the Standard Funding Agreement attached to the Invitation to Apply for Funding documentation on the Department’s website at: http://www.health.gov.au/qupp.

4. How to Apply

4.1. Obtaining an application

Applicants may obtain a QUPP Funding Round 2012-13 ‘Invitation to Apply for Funding’ form (ITA) which includes the QUPP Application for Funding from the Department’s website at: http://www.health.gov.au/qupp

4.2Application requirements

Applications are to be submitted to the Department by 2.00pm on 22 March 2013.

Applications must be submitted using the official application form which includes the provision for the following information:

• applicant’s business name, legal entity name (i.e. ABN/ACN);

• physical and postal address details;

• authorised contact officers;

• other partner(s) involved, name of organisation, contact person details;

• details against the criteria.

(See ITA part D, project application form for a comprehensive list.)

4.3How to submit an application

Applications may be submitted in the following manner:

• On the official ‘QUPP Application for Funding’ form completed in accordance with the ITA and the QUPP Program Guidelines that may be viewed on the website http://www.health.gov.au/qupp.

• Applications must be provided in both hard copy (4 unbound/ unstapled copies) and electronically in Microsoft Word 2010 compatible format with :

- Hardcopies posted to the Director, Pathology Quality Section, Department of Health and Ageing at the address below; and

- An electronic copy sent by confidential Email to .

Applications are to be submitted by courier or hand delivery to:

Quality Use of Pathology Funding Round 2012-13

Director, Pathology Quality Section

Department of Health and Ageing

Tender Box

Sirius Building,

Foyer, Ground Floor,

23 Furzer Street

WODEN ACT 2606

NOTE: The Tender Box is accessible for deliveries between the hours of 8:30am and 5:00pm Monday to Friday (excluding public holidays). Submissions are due at 2.00pm on the application closing day (Please refer to the ITA). Applications are not to be hand delivered to the security guard. Applications MUST be lodged in the tender box by the Applicant or authorised representative.

To assist with the appraisal of an application, clarifying information may be requested by the Department. Applicants will be notified by email or post where this is required.

Requests for information regarding applications can be made to the Director of the Quality Pathology Section .

4.4 Late Applications

The Department will only accept a late application if it is late as a direct result of mishandling by the Department. In all other circumstances, in the interests of fairness, the Department reserves the right not to accept late Applications. In considering whether it would be fair to accept a late Application, the Department will consider whether the cause of the lateness was beyond the Applicant's control and such other facts as it considers relevant. The Department may also ask the Applicant to provide evidence to support its claims regarding the reasons for late submission.

If the Applicant considers that their Application will be late they should notify the Contact Officer prior to the Closing Time advising of the circumstances for the lateness. The chair of the assessment committee will take the reasons into consideration when deciding whether or not to accept the late Application.

5. 5 Appraisal

5.1 Appraisal process

The current funding round will be assessed as an open and competitive process.

Those applications which do not satisfy the eligibility criteria may not be assessed
(see Part 2, Eligibility).

Based on the information provided, the Department will undertake an evaluation of eligible applications against the appraisal criteria outlined below. The Quality Use of Pathology Committee will provide technical advice to the Department to consider as part of its assessment of funding applications.

5.2 Appraisal criteria

Applicants must meet all mandatory criteria to advance in the assessment process
(See ITA Part C and Part D).

Applications will be assessed against the following criteria:

• Applications will only be considered from eligible organisations

• All of the sections in the application must be completed

• Applications are to be signed/ authorised by an appropriate officer/ delegate