Part 1—Preliminary
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charge exempt resident has the meaning given by repealed section 44‑8B of the Aged Care (Transitional Provisions) Act 1997.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.
home care setting has the meaning given by section 4 of the Subsidy Principles 2014.
multi‑purpose service has the meaning given by section 104 of the Subsidy Principles 2014.
National Aged Care Mandatory Quality Indicator Program Manual means the National Aged Care Mandatory Quality Indicator Program Manual 3.0—Part A, published on the Department’s website, as existing at the start of 1 April 2023.
NDIS worker screening clearance has the meaning given by section 4 of the Accountability Principles 2014.
NDIS worker screening rules has the meaning given by section 4 of the Accountability Principles 2014.
police certificate, for a person, means a report about the person’s criminal conviction record prepared by:
(a) the Australian Federal Police; or
(b) the Australian Criminal Intelligence Commission; or
(c) an agency accredited by the Australian Criminal Intelligence Commission; or
(d) the police force or police service of a State or Territory.
process of obtaining an NDIS worker screening clearance has the meaning given by section 4 of the Accountability Principles 2014.
representative, of a care recipient, has the meaning given by section 5.
residential care setting has the meaning given by section 4 of the Subsidy Principles 2014.
service staff, in relation to an aged care service, has the meaning given by the Quality of Care Principles 2014.
short‑term restorative care has the meaning given by section 106A of the Subsidy Principles 2014.
staff member, of an approved provider, has the meaning given by section 4 of the Accountability Principles 2014.
transition care has the meaning given by section 106 of the Subsidy 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.
Part 2—Records to be kept
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.
6A Records about governing body
(1) This section applies if the responsibilities set out in paragraphs 63‑1D(2)(a) and (b) of the Act apply in relation to an approved provider.
(2) The approved provider must keep a record about the members of the approved provider’s governing body that includes the following information:
(a) the names of the members of the governing body who are independent non‑executive members;
(b) the names of the members of the governing body who are not independent non‑executive members;
(c) both:
(i) the names of the members of the governing body who have experience in the provision of clinical care; and
(ii) details of each such member’s experience.
6B Records about the quality care advisory body
(1) This section applies if the responsibility set out in subsection 63‑1D(6) of the Act to establish and maintain a quality care advisory body applies in relation to an approved provider.
(2) The approved provider must keep a record about the quality care advisory body that includes the following information and documents:
(a) the names of the members of the quality care advisory body and details of the following:
(i) the date each member was appointed to the quality care advisory body;
(ii) the date a member resigned from the quality care advisory body;
(b) details about how the quality care advisory body satisfies the requirements of section 53B of the Accountability Principles 2014;
(c) a copy of the minutes of any meeting held by the quality care advisory body and the date on which the meeting was held;
(d) a copy of each written report given to the governing body of the approved provider by the quality care advisory body under subparagraph 63‑1D(6)(a)(ii) of the Act;
(e) details of any feedback given to the governing body of the approved provider by the quality care advisory body under subparagraph 63‑1D(6)(a)(iii) of the Act;
(f) a copy of any written advice given to the quality care advisory body by the governing body of the approved provider under subparagraph 63‑1D(6)(b)(ii) of the Act advising how the governing body has considered the report and feedback mentioned in paragraphs (d) and (e).
6C Records about the consumer advisory body
(1) This section applies if the responsibility to offer care recipients and their representatives an opportunity to establish a consumer advisory body under subsection 63‑1D(9) of the Act applies in relation to an approved provider.
(2) The approved provider must keep a record that includes the following information and documents:
(a) a copy of each written offer made to care recipients and their representatives giving them the opportunity to establish a consumer advisory body;
(b) the date on which each offer was given to care recipients and their representatives;
(c) if a consumer advisory body is established:
(i) a copy of the minutes of each meeting of the consumer advisory body; and
(ii) details of any feedback given to the governing body of the approved provider by the consumer advisory body under paragraph 63‑1D(9)(a) of the Act; and
(iii) a copy of any written advice given to the consumer advisory body by the governing body under subparagraph 63‑1D(9)(b)(ii) of the Act advising how the governing body has considered any such feedback.
6D Records about the qualifications, skills or experience etc. of staff members
(1) This section applies if the responsibility under subsection 63‑1D(11) of the Act applies in relation to an approved provider.
(2) The approved provider must keep a record about how the governing body of the approved provider has ensured that the staff members of the approved provider:
(a) have appropriate qualifications, skills or experience to provide the care or other services that the approved provider provides to care recipients through an aged care service; and
(b) are given opportunities to develop their capability to provide that care or those other services.
Note: Other record keeping responsibilities of an approved provider in relation to certain staff are set out in sections 9, 10A and 10B.
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 (as in force before 1 September 2021);
(ta) records relating to the payment of the care recipient portion of a care recipient’s unspent home care amount under section 21F or 37 of the User Rights Principles 2014 (as in force on or after 1 September 2021);
(v) records required by the National Aged Care Mandatory Quality Indicator Program Manual to be kept.
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 and NDIS worker screening clearances 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 of the approved provider, or a volunteer for the approved provider, one of the following at all times during which the person remains a staff member or volunteer:
(i) a police certificate that is not more than 3 years old;
(ii) an NDIS worker screening clearance that is not more than 5 years old and is not suspended; 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 police certificate or NDIS worker screening clearance:
(i) an application for a police certificate has been made; or
(ii) the staff member or volunteer is in the process of obtaining an NDIS worker screening clearance; 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 and documents relating to NDIS worker screening clearances
(1) 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.
(2) If an NDIS worker screening clearance, or a copy or other evidence of an NDIS worker screening clearance, is kept by an approved provider under section 9, the clearance or copy must be kept in accordance with the Privacy Act 1988.
10A Records about service staff—influenza vaccinations
Residential care services, certain flexible care services and home care services
(1) An approved provider of:
(a) a residential care service; or
(aa) a flexible care service through which transition care is provided (whether in a residential or community setting); or
(b) a flexible care service through which short‑term restorative care is provided (whether in a residential care setting or a home care setting); or
(c) a home care service;
must keep records, for each calendar year, of the number of service staff in relation to the service who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received the annual seasonal influenza vaccination for that 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.
Multi‑purpose services
(2) An approved provider of a multi‑purpose service must keep records, for each calendar year, in relation to the service staff in relation to the service:
(a) who access, or are reasonably likely to access, any premises where residential care is provided through the service; and
(b) who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received the annual seasonal influenza vaccination for that year (whether or not under the approved provider’s influenza vaccination scheme).
10B Records about service staff—COVID‑19 vaccinations
Residential care services, certain flexible care services and home care services
(1) An approved provider of:
(a) a residential care service; or
(aa) a flexible care service through which transition care is provided (whether in a residential or community setting); or
(b) a flexible care service through which short‑term restorative care is provided (whether in a residential care setting or a home care setting); or
(ba) a home care service;
must keep records of the following information:
(c) the number of service staff in relation to the service who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a single dose of a COVID‑19 vaccine;
(d) the number of service staff in relation to the service who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a second dose of a COVID‑19 vaccine;
(da) the number of service staff in relation to the service who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a booster dose of a COVID‑19 vaccine;
(e) the number of service staff in relation to the service who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have not received one or more of the following:
(i) a single dose of a COVID‑19 vaccine;
(ii) a second dose of a COVID‑19 vaccine;
(iii) a booster dose of a COVID‑19 vaccine;
because:
(iv) an exemption from the requirement to receive a COVID‑19 vaccine under a law of a State or Territory applies to them; or
(v) the requirement to receive a COVID‑19 vaccine under a law of a State or Territory does not apply to them;
(f) for those service staff covered by paragraph (e):
(i) the nature of the exemption from the requirement to receive a COVID‑19 vaccine under a law of a State or Territory; or
(ii) the reason why the requirement to receive a COVID‑19 vaccine under a law of a State or Territory does not apply to them.
Multi‑purpose services
(2) An approved provider of a multi‑purpose service must keep records of the following information in relation to the service staff in relation to the service who access, or are reasonably likely to access, any premises where residential care is provided through the service:
(a) the number of those service staff who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a single dose of a COVID‑19 vaccine;
(b) the number of those service staff who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a second dose of a COVID‑19 vaccine;
(ba) the number of those service staff who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have received a booster dose of a COVID‑19 vaccine;
(c) the number of those service staff who have informed the approved provider, whether voluntarily or as required under a law of a State or Territory, that they have not received one or more of the following:
(i) a single dose of a COVID‑19 vaccine;
(ii) a second dose of a COVID‑19 vaccine;
(iii) a booster dose of a COVID‑19 vaccine;
because:
(iv) an exemption from the requirement to receive a COVID‑19 vaccine under a law of a State or Territory applies to them; or
(v) the requirement to receive a COVID‑19 vaccine under a law of a State or Territory does not apply to them;
(d) for those service staff covered by paragraph (c):
(i) the nature of the exemption from the requirement to receive a COVID‑19 vaccine under a law of a State or Territory; or
(ii) the reason why the requirement to receive a COVID‑19 vaccine under a law of a State or Territory does not apply to them.
10C Records about residential care recipients—vaccinations
An approved provider of:
(a) a residential care service; or
(aa) a flexible care service through which transition care is provided in a residential setting; or
(b) a flexible care service through which short‑term restorative care is provided in a residential care setting; or
(c) a multi‑purpose service;
must keep records of the following information:
(d) for each calendar year—the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received the annual seasonal influenza vaccination for that year;
(e) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received a single dose of a COVID‑19 vaccine;
(f) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received a second dose of a COVID‑19 vaccine;
(g) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received a third dose of a COVID‑19 vaccine;
Note: Care recipients who are assessed by their health practitioner as being immunocompromised may receive a third dose of a COVID‑19 vaccine.
(h) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received a booster dose of a COVID‑19 vaccine;
(i) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they have received a winter 2022 dose of a COVID‑19 vaccine;
(j) the number of care recipients to whom residential care is provided through the service who have voluntarily informed the approved provider that they are willing and clinically suitable to receive one or more doses of a COVID‑19 vaccine but they have not received any dose of a COVID‑19 vaccine;
(k) the number of care recipients to whom residential care is provided through the service who are unwilling or clinically unsuitable to receive:
(i) any recommended dose of a COVID‑19 vaccine; or
(ii) all of the recommended doses of a COVID‑19 vaccine.
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.
Part 3—Application, transitional and saving provisions
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.
13 Amendments made by the Aged Care Legislation Amendment (Governance and Reporting for Approved Providers) Principles 2022
Record keeping requirements—existing providers
(1) If a person is an approved provider immediately before 1 December 2022, sections 6A to 6D, as inserted by Part 2 of Schedule 1 to the Aged Care Legislation Amendment (Governance and Reporting for Approved Providers) Principles 2022, apply in relation to the person on and after 1 December 2023.
Record keeping requirements—new providers
(2) If a person becomes an approved provider on or after the 1 December 2022, sections 6A to 6D, as inserted by Part 2 of Schedule 1 to the Aged Care Legislation Amendment (Governance and Reporting for Approved Providers) Principles 2022, apply in relation to the person on and after the day the person becomes an approved provider.