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Records Principles 2014

Authoritative Version
Principles as amended, taking into account amendments up to Aged Care Legislation Amendment (Quality Indicator Program) Principles 2019
Administered by: Health
Registered 30 Jul 2019
Start Date 01 Jul 2019
Table of contents.

Commonwealth Coat of Arms of Australia

Records Principles 2014

made under section 96‑1 of the

Aged Care Act 1997

Compilation No. 3

Compilation date:                              1 July 2019

Includes amendments up to:            F2019L00849

Registered:                                         30 July 2019

 

About this compilation

This compilation

This is a compilation of the Records Principles 2014 that shows the text of the law as amended and in force on 1 July 2019 (the compilation date).

The notes at the end of this compilation (the endnotes) include information about amending laws and the amendment history of provisions of the compiled law.

Uncommenced amendments

The effect of uncommenced amendments is not shown in the text of the compiled law. Any uncommenced amendments affecting the law are accessible on the Legislation Register (www.legislation.gov.au). The details of amendments made up to, but not commenced at, the compilation date are underlined in the endnotes. For more information on any uncommenced amendments, see the series page on the Legislation Register for the compiled law.

Application, saving and transitional provisions for provisions and amendments

If the operation of a provision or amendment of the compiled law is affected by an application, saving or transitional provision that is not included in this compilation, details are included in the endnotes.

Editorial changes

For more information about any editorial changes made in this compilation, see the endnotes.

Modifications

If the compiled law is modified by another law, the compiled law operates as modified but the modification does not amend the text of the law. Accordingly, this compilation does not show the text of the compiled law as modified. For more information on any modifications, see the series page on the Legislation Register for the compiled law.

Self‑repealing provisions

If a provision of the compiled law has been repealed in accordance with a provision of the law, details are included in the endnotes.

  

  

  


Contents

1............ Name of principles........................................................................................................ 1

3............ Authority....................................................................................................................... 1

4............ Definitions..................................................................................................................... 1

5............ Meaning of representative............................................................................................. 1

6............ Purpose of these principles............................................................................................ 2

7............ Records about care recipients........................................................................................ 2

8............ Records about allegations or suspicions of reportable assaults...................................... 4

8A......... Records about Charter of Aged Care Rights given to care recipients............................ 4

9............ Records about staff members and volunteers —police certificates etc........................... 4

10.......... Duty to keep police certificates...................................................................................... 5

10A....... Records about service staff—influenza vaccinations..................................................... 5

11.......... Kinds of records that must be retained........................................................................... 5

12.......... Transitional provisions—Aged Care Legislation Amendment (Influenza Vaccination in Residential Care) Principles 2018............................................................................................................. 5

Endnotes                                                                                                                                                                 6

Endnote 1—About the endnotes                                                                                                        6

Endnote 2—Abbreviation key                                                                                                            7

Endnote 3—Legislation history                                                                                                         8

Endnote 4—Amendment history                                                                                                       9

 


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