1 Name of principles
These principles are the Records Principles 2014.
3 Authority
These principles are made under section 96‑1 of the Aged Care Act 1997.
4 Definitions
In these principles:
Act means the Aged Care Act 1997.
Answer Appraisal Pack has the meaning given by section 4 of the Classification Principles 2014.
application for classification has the meaning given by section 4 of the Classification Principles 2014.
Assessment Pack has the meaning given by section 4 of the Classification Principles 2014.
charge exempt resident has the meaning given by clause 1 of Schedule 1 to the Aged Care (Transitional Provisions) Act 1997.
Charter of Aged Care Rights means the “Charter of Aged Care Rights” set out in Schedule 1 to the User Rights Principles 2014.
National Aged Care Mandatory Quality Indicator Program Manual means the National Aged Care Mandatory Quality Indicator Program Manual 1.0, published on the Department’s website, as existing at the start of 1 July 2019.
police certificate, for a person, means a report prepared by the Australian Federal Police, CrimTrac or the police force or police service of a State or Territory about the person’s criminal conviction record.
representative, of a care recipient, has the meaning given by section 5.
service staff, in relation to an aged care service, has the meaning given by the Quality of Care Principles 2014.
staff member, of an approved provider, has the meaning given by section 4 of the Accountability Principles 2014.
volunteer, for an approved provider, has the meaning given by section 4 of the Accountability Principles 2014.
5 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 relevant approved provider is satisfied has a connection with the care recipient, and is concerned for the safety, health and wellbeing 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 partner, close relation 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.
Note: Nothing in this section is intended to affect the powers of a substitute decision‑maker appointed for a person under a law of a State or Territory.
6 Purpose of these principles
For Division 88 of the Act, these principles specify the kinds of records that must be kept and retained by an approved provider.
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.
7 Records about care recipients
An approved provider must keep the following kinds of records:
(a) assessments of care recipients;
(b) 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;
(c) copies of applications for classification for care recipients that are not transmitted to the Secretary in electronic form;
(d) individual care plans for care recipients;
(e) medical records, progress notes and other clinical records of care recipients;
(f) schedules of fees and charges (including retention amounts relating to accommodation bonds) for previous and current care recipients;
(g) agreements between care recipients and the approved provider;
(h) accounts of care recipients;
(i) records relating to the approved provider meeting prudential requirements;
(j) records relating to the payment and repayment of refundable deposits, accommodation bonds and entry contributions;
(k) records relating to care recipients’ entry, discharge and leave arrangements, including death certificates where appropriate;
(l) records relating to a determination that a care recipient is a care recipient with financial hardship;
(m) records of the amount of daily accommodation payments, daily accommodation contribution and accommodation charge paid or payable to the approved provider by care recipients;
(n) 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;
(o) in relation to a continuing residential care recipient to whom the approved provider starts to provide residential care through a residential care service on or after 1 July 2014—a record of whether the care recipient made a written choice to be covered by Chapters 3 and 3A of the Act in relation to the service;
(p) in relation to a continuing home care recipient to whom the approved provider starts to provide home care through a home care service on or after 1 July 2014—a record of whether the care recipient made a written choice to be covered by Chapters 3 and 3A of the Act in relation to the service;
(q) in relation to a continuing flexible care recipient to whom the approved provider starts to provide flexible care through a flexible care service on or after 1 July 2014—a record of whether the care recipient made a written choice to be covered by Chapters 3 and 3A of the Act in relation to the service;
(r) up‑to‑date records of:
(i) the name and contact details of at least one 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;
(s) copies of notices given under section 21E of the User Rights Principles 2014;
(t) records relating to the payment of the care recipient portion or transfer portion of care recipients’ unspent home care amounts under section 21F of the User Rights Principles 2014;
(u) copies of notices of published exit amounts given under section 21J of the User Rights Principles 2014;
(v) records required by the National Aged Care Mandatory Quality Indicator Program Manual to be kept.
8 Records about 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 was 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 was not reported to a police officer or the Secretary because of subsection 63‑1AA(3) of the Act.
Note: Section 53 of the Accountability Principles 2014 specifies the circumstances in which subsection 63‑1AA(2) of the Act does not apply to an allegation or suspicion of a reportable assault.
8A Records about Charter of Aged Care Rights given to care recipients
(1) An approved provider must keep a record relating to each copy of the Charter of Aged Care Rights given to a care recipient under:
(a) for approved providers of residential care—paragraph 11(1)(b) or subsection 33(1) of the User Rights Principles 2014; or
(b) for approved providers of home care—paragraph 20(1)(b) or subsection 33(1) of the User Rights Principles 2014; or
(c) for approved providers of a flexible care service through which short‑term restorative care is provided—paragraph 23AE(1)(b) or subsection 33(1) of the User Rights Principles 2014.
(2) Subsection (1) does not apply to an approved provider if:
(a) for approved providers of residential care—the care recipient does not enter the approved provider’s residential care service; or
(b) for approved providers of home care—the care recipient does not enter the approved provider’s home care service; or
(c) for approved providers of a flexible care service through which short‑term restorative care is provided—the care recipient does not enter the approved provider’s flexible care service.
9 Records about staff members and volunteers —police certificates etc.
An approved provider must keep records that enable the provider to demonstrate that:
(a) in accordance with Part 6 of the Accountability Principles 2014, 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 6 of the Accountability Principles 2014 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 6 of the Accountability Principles 2014 has in fact been made.
10 Duty to keep police certificates
If a police certificate, or a copy of a police certificate, is kept by an approved provider under section 9, the police certificate or copy must be kept in accordance with the Privacy Act 1988.
10A Records about service staff—influenza vaccinations
An approved provider of:
(a) a residential care service; or
(b) a flexible care service through which short‑term restorative care is provided in a residential care setting;
must keep records of the number of service staff that receive an influenza vaccination each calendar year (whether or not under the approved provider’s influenza vaccination scheme).
Note: An approved provider must have an influenza vaccination scheme: see sections 8 and 15BA of the Quality of Care Principles 2014.
11 Kinds of records that must 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 section 7.
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.
12 Transitional provisions—Aged Care Legislation Amendment (Influenza Vaccination in Residential Care) Principles 2018
Section 10A, as inserted by the Aged Care Legislation Amendment (Influenza Vaccination in Residential Care) Principles 2018, applies in relation to influenza vaccinations received on or after the commencement of this section.
Endnotes
Endnote 1—About the endnotes
The endnotes provide information about this compilation and the compiled law.
The following endnotes are included in every compilation:
Endnote 1—About the endnotes
Endnote 2—Abbreviation key
Endnote 3—Legislation history
Endnote 4—Amendment history
Abbreviation key—Endnote 2
The abbreviation key sets out abbreviations that may be used in the endnotes.
Legislation history and amendment history—Endnotes 3 and 4
Amending laws are annotated in the legislation history and amendment history.
The legislation history in endnote 3 provides information about each law that has amended (or will amend) the compiled law. The information includes commencement details for amending laws and details of any application, saving or transitional provisions that are not included in this compilation.
The amendment history in endnote 4 provides information about amendments at the provision (generally section or equivalent) level. It also includes information about any provision of the compiled law that has been repealed in accordance with a provision of the law.
Editorial changes
The Legislation Act 2003 authorises First Parliamentary Counsel to make editorial and presentational changes to a compiled law in preparing a compilation of the law for registration. The changes must not change the effect of the law. Editorial changes take effect from the compilation registration date.
If the compilation includes editorial changes, the endnotes include a brief outline of the changes in general terms. Full details of any changes can be obtained from the Office of Parliamentary Counsel.
Misdescribed amendments
A misdescribed amendment is an amendment that does not accurately describe the amendment to be made. If, despite the misdescription, the amendment can be given effect as intended, the amendment is incorporated into the compiled law and the abbreviation “(md)” added to the details of the amendment included in the amendment history.
If a misdescribed amendment cannot be given effect as intended, the abbreviation “(md not incorp)” is added to the details of the amendment included in the amendment history.
Endnote 2—Abbreviation key
| ad = added or inserted | o = order(s) |
| am = amended | Ord = Ordinance |
| amdt = amendment | orig = original |
| c = clause(s) | par = paragraph(s)/subparagraph(s) |
| C[x] = Compilation No. x | /sub‑subparagraph(s) |
| Ch = Chapter(s) | pres = present |
| def = definition(s) | prev = previous |
| Dict = Dictionary | (prev…) = previously |
| disallowed = disallowed by Parliament | Pt = Part(s) |
| Div = Division(s) | r = regulation(s)/rule(s) |
| ed = editorial change | reloc = relocated |
| exp = expires/expired or ceases/ceased to have | renum = renumbered |
| effect | rep = repealed |
| F = Federal Register of Legislation | rs = repealed and substituted |
| gaz = gazette | s = section(s)/subsection(s) |
| LA = Legislation Act 2003 | Sch = Schedule(s) |
| LIA = Legislative Instruments Act 2003 | Sdiv = Subdivision(s) |
| (md) = misdescribed amendment can be given | SLI = Select Legislative Instrument |
| effect | SR = Statutory Rules |
| (md not incorp) = misdescribed amendment | Sub‑Ch = Sub‑Chapter(s) |
| cannot be given effect | SubPt = Subpart(s) |
| mod = modified/modification | underlining = whole or part not |
| No. = Number(s) | commenced or to be commenced |
Endnote 3—Legislation history
| Name | Registration | Commencement | Application, saving and transitional provisions |
| Records Principles 2014 | 25 June 2015 (F2014L00810) | 1 July 2014 (s 2) | |
| Aged Care Legislation Amendment (Increasing Consumer Choice) Principles 2016 | 23 Sept 2016 (F2016L01492) | Sch 1 (item 31): 27 Feb 2017 (s 2(1) item 3) | — |
| Aged Care Legislation Amendment (Influenza Vaccination in Residential Care) Principles 2018 | 30 Apr 2018 (F2018L00545) | Sch 1 (items 5–8): 1 May 2018 (s 2(1) item 1) | — |
| User Rights Amendment (Charter of Aged Care Rights) Principles 2019 | 22 Mar 2019 (F2019L00356) | Sch 1 (items 16, 17): 1 July 2019 (s 2(1) item 1) | — |
| Aged Care Legislation Amendment (Quality Indicator Program) Principles 2019 | 20 June 2019 (F2019L00849) | Sch 1 (items 4, 5): 1 July 2019 (s 2(1) item 1) | — |
Endnote 4—Amendment history
| Provision affected | How affected |
| s 2............................................. | rep LA s 48D |
| s 4............................................. | am F2018L00545; F2019L00356; F2019L00849 |
| s 7............................................. | am F2016L01492; F2019L00849 |
| s 8A.......................................... | ad F2019L00356 |
| s 9............................................. | am F2018L00545 |
| s 10A........................................ | ad F2018L00545 |
| s 12........................................... | ad F2018L00545 |