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Records Principles 1997

Authoritative Version
Principles as amended, taking into account amendments up to Records Amendment Principles 2008 (No. 1)
Administered by: Social Services
Registered 20 Mar 2008
Start Date 20 Mar 2008
End Date 01 Jul 2014
Date of repeal 01 Jul 2014
Repealed by

Records Principles 1997

as amended

made under subsection 96‑1 (1) of the

This compilation was prepared on 20 March 2008
taking into account amendments up to Records Amendment Principles
2008 (No. 1)

Prepared by the Office of Legislative Drafting and Publishing,
Attorney‑General’s Department, Canberra


Contents

                    19.1     Citation [see Note 1]                                                                            3

                    19.2     Commencement                                                                                  3

                    19.3     Definitions                                                                                           3

                  19.3A     Meaning of representative                                                                     3

                    19.4     Purpose (Act, ss 88‑1 and 88‑2)                                                           4

                    19.5     Kinds of records to be kept — care recipient                                          4

               19.5AA     Kinds of records to be kept — allegations or suspicions of reportable assaults 5

                  19.5A     Kinds of records to be kept — staff members and volunteers                   6

                  19.5B     Duty to keep police certificates                                                             7

                    19.6     Kinds of records to be retained                                                             7

Notes                                                                                                                                8

 

 


  

  

Note:  Part 6.3 of the Aged Care Act 1997

Part 6.3 of the Aged Care Act 1997 is about the keeping and retention of records by approved providers and former approved providers.

19.1        Citation [see Note 1]

                These Principles may be cited as the Records Principles 1997.

19.2        Commencement

                These Principles commence on 1 October 1997.

19.3        Definitions

                In these Principles:

Act means the Aged Care Act 1997.

Accountability Principles means the Accountability Principles 1998 made under subsection 96‑1 (1) of the Act.

Answer Appraisal Pack has the meaning given by section 9.3 of the Classification Principles 1997.

application for classification has the meaning given by section 9.3 of the Classification Principles 1997.

Assessment Pack has the meaning given by section 9.3 of the Classification Principles 1997.

police certificate, for a person, means a report prepared by the Australian Federal Police or by the police force or police service of a State or Territory about the person’s criminal conviction record.

19.3A      Meaning of representative

         (1)   In these Principles, representative, of a care recipient, means:

                (a)    a person nominated by the care recipient as a person to be told about matters affecting the care recipient; or

               (b)    a person:

                          (i)    who nominates himself or herself as a person to be told about matters affecting a care recipient; and

                         (ii)    who the approved provider is satisfied has a connection with the care recipient, and is concerned for the safety, health and well‑being of the care recipient.

         (2)   Without limiting subparagraph (1) (b) (ii), a person has a connection with a care recipient if:

                (a)    the person is a close relation, next of kin, or other relative, of the care recipient; or

               (b)    the person holds an enduring power of attorney given by the care recipient; or

                (c)    the person has been appointed by a State or Territory guardianship board (however described) to deal with the care recipient’s affairs; or

               (d)    the person represents the care recipient in dealings with the approved provider (for example, by signing a resident agreement, or paying accounts, for the care recipient).

 

Note:  Definitions

A number of expressions used in these Principles are defined in the Aged Care Act 1997, including:

·             accommodation bond

·             accommodation charge

·             approved provider

·             care

·             charge exempt resident

·             close relation

·             resident agreement.

 

19.4        Purpose (Act, ss 88‑1 and 88‑2)

                These Principles specify the kinds of records to be kept by an approved provider for subsection 88‑2 (1) of the Act, and to be retained by an approved provider for subsection 88‑1 (2) of the Act.

                     Note   Under subsection 89‑1 (2) of the Act, a person who has ceased to be an approved provider must retain records that the person was required to retain under section 88‑1 of the Act, other than records that the approved provider is required to transfer to another approved provider under section 16‑10 of the Act.

19.5        Kinds of records to be kept — care recipient

                An approved provider must keep records of the following kinds:

                (a)    assessments of care recipients;

              (aa)    appraisal and reappraisal records for care recipients in the form of Answer Appraisal Packs, including:

                          (i)    assessment tools from the Assessment Pack; and

                         (ii)    sources of evidence mentioned in the Answer Appraisal Pack;

              (ab)    copies of applications for classification for care recipients that are not transmitted to the Secretary in electronic form;

               (b)    individual care plans for care recipients;

                (c)    medical records, progress notes and other clinical records of care recipients;

               (d)    schedules of fees and charges (including retention amounts relating to accommodation bonds) for previous and current care recipients;

                (e)    agreements between care recipients and the approved provider;

                (f)    accounts of care recipients;

                (g)    records relating to the approved provider meeting prudential requirements for accommodation bonds;

                (h)    records relating to the payment and repayment of accommodation bonds (including periodic payments);

                 (i)    records relating to care recipients’ entry, discharge and leave arrangements, including death certificates where appropriate;

                (j)    records relating to a determination that a care recipient is a care recipient with financial hardship;

               (k)    records of the amount of accommodation charge paid or payable to the approved provider by care recipients;

                 (l)    records of the amount of accommodation charge refunded by the approved provider in relation to care recipients who paid an accommodation charge for a period during which they were charge exempt residents;

               (m)    up‑to‑date records of:

                          (i)    the name and contact details of at least 1 representative of each care recipient, according to information given to the approved provider by the care recipient, or by the representative; and

                         (ii)    the name and contact details of any other representative of a care recipient, according to information given to the approved provider by the care recipient, or by the representative.

19.5AA   Kinds of records to be kept — allegations or suspicions of reportable assaults

         (1)   An approved provider must keep consolidated records of all incidents involving allegations or suspicions of reportable assaults.

         (2)   The record for each incident must include:

                (a)    the date when the approved provider received the allegation, or started to suspect on reasonable grounds, that a reportable assault had occurred; and

               (b)    a brief description of the allegation or the circumstances that gave rise to the suspicion; and

                (c)    information about:

                       (i)    whether a report of the allegation or suspicion has been made to a police officer and the Secretary in accordance with subsection 63‑1AA (2) of the Act; or

                      (ii)    whether the allegation or suspicion has not been reported to a police officer or the Secretary because subsection 63‑1AA (3) of the Act applies.

Note   Section 1.31 of the Accountability Principles provides the circumstances when subsection 63‑1AA (2) of the Act does not apply to an allegation or suspicion of a reportable assault. Subsections 1.31 (1) and (2) state:

(1)      Subsection 63‑1AA (2) of the Act does not apply to an allegation or suspicion of a reportable assault if:

(a)   within 24 hours of receipt of the allegation or the start of the suspicion, the approved provider forms an opinion that the assault was committed by a care recipient to whom the approved provider provides residential care; and

(b)   before receipt of the allegation or the start of the suspicion, the care recipient mentioned in paragraph (a) had been assessed by an appropriate health professional as suffering from a cognitive or mental impairment; and

(c)   the approved provider puts in place, within 24 hours of receipt of the allegation or the start of the suspicion, arrangements for management of the care recipient’s behaviour; and

(d)   the approved provider has:

(i)    a copy of the assessment or other documents showing the care recipient’s cognitive or mental impairment; and

(ii)   a record of the arrangements put in place under paragraph (c).

Examples of appropriate health professional for paragraph (b)

Geriatrician, other medical practitioner, registered nurse (in Victoria, Division 1 registered nurse).

Note   Under section 19.5AA of the Records Principles 1997 an approved provider must also keep consolidated records of all incidents involving allegations or suspicions of reportable assaults.

(2)      Subsection 63‑1AA (2) of the Act does not apply to a later allegation that:

(a)   relates to the same, or substantially the same, factual situation or event as an earlier allegation; and

(b)   has previously been reported to a police officer and the Secretary under subsection 63‑1AA (2) of the Act.

19.5A      Kinds of records to be kept — staff members and volunteers

         (1)   An approved provider must keep records that enable the provider to demonstrate that:

                (a)    in accordance with Part 4 of the Accountability Principles, there is for each person who is a staff member or volunteer a police certificate that is, at all times during which the person remains a staff member or volunteer, not more than 3 years old; and

               (b)    for any period that a staff member or volunteer is allowed under Part 4 of the Accountability Principles to be without such a certificate, an application for a police certificate has been made; and

                (c)    any statutory declaration required to be made by a staff member or volunteer under Part 4 of the Accountability Principles has in fact been made.

         (2)   In this section:

staff member, of an approved provider, has the meaning given by section 1.18 of the Accountability Principles.

volunteer, for an approved provider, has the meaning given by section 1.18 of the Accountability Principles.

19.5B     Duty to keep police certificates

                If a police certificate, or a copy of a police certificate, is kept by an approved provider under section 19.5A, the police certificate or copy must be kept in accordance with the Privacy Act 1988.

19.6        Kinds of records to be retained

                An approved provider who ceases permanently to provide care to a care recipient must retain, in relation to the care recipient, records of the kinds mentioned in subclause 19.5.

Note   Under subsection 89‑1 (2) of the Act, a person who has ceased to be an approved provider must retain records that the person was required to retain under section 88‑1 of the Act, other than records that the approved provider is required to transfer to another approved provider under section 16‑10 of the Act.


Notes to the Records Principles 1997

Note 1

The Records Principles 1997 (in force under subsection 96‑1 (1) of the Aged Care Act 1997) as shown in this compilation are amended as indicated in the Tables below.

Under the Legislative Instruments Act 2003, which came into force on 1 January 2005, it is a requirement for all non-exempt legislative instruments to be registered on the Federal Register of Legislative Instruments.

Table of Instruments

Title

Date of notification
in Gazette or FRLI registration

Date of
commencement

Application, saving or
transitional provisions

Records Principles 1997

29 Sept 1997 (see
Gazette
1997, No. S380)

1 Oct 1997

 

Records Amendment Principles 1999 (No. 1)

21 Oct 1999 (see
Gazette
1999, No. S494)

21 Oct 1999 (see s. 2 and Gazette 1999, No. S496)

Records Amendment Principles 2001 (No. 1)

19 Feb 2001 (see
Gazette
2001, No. S60)

19 Feb 2001

Records Amendment Principles 2006 (No. 1)

22 Dec 2006 (see
F2006L04140)

1 Mar 2007

Records Amendment Principles 2007 (No. 1)

1 May 2007 (see
F2007L01118)

1 July 2007

Records Amendment Principles 2008 (No. 1)

18 Mar 2008 (see F2008L00832)

20 Mar 2008 (see s. 2)

Table of Amendments

ad. = added or inserted      am. = amended      rep. = repealed      rs. = repealed and substituted

Provision affected

How affected

S. 19.3....................................

rs. No. 1, 2006

 

am. No. 1, 2008

Note to s. 19.3......................

rs. No. 1, 1999

 

rep. No. 1, 2001

S. 19.3A.................................

ad. No. 1, 2001

Heading to s. 19.5...............

rs. No. 1, 2006

S. 19.5....................................

am. No. 1, 1999; No. 1, 2001; No. 1, 2008

S. 19.5AA...............................

ad. No. 1, 2007

S. 19.5A.................................

ad. No. 1, 2006

S. 19.5B.................................

ad. No. 1, 2006