Maintenance, Records and Audit

Will Holmes à Court
Will Holmes à Court
Last updated 
What records to keep when providing services to clients

Overview

Introduction
When running HWH or any business, good record keeping is important as it helps:
  • our clients achieve better outcomes
  • decision-makers make informed decisions
  • protect the business from risk
  • meet legislative requirements
  • support accountability.
Applies to
  • services provided to all our clients
  • all HWH representatives
Related Items

Policy

Types of records
At a minimum, HWH will keep full and accurate accounts and financial records of:
  • client service agreements containing the schedule, cost, type and quality of services to be delivered;
  • as well as the expected outcomes for the client and any regulated restrictive practices in place for the NDIS clients
  • approved quotes as appropriate
  • evidence of service quantity and type delivered.
Accounts and financial records are maintained regularly with accurate details on the quantity, type and duration of services delivered. The evidence of service delivery is one or more of the following, depending on the type of service delivered:

Evidence Types
  • Case Notes:  Activities and how they relate to the specific item and client goals. 
  • Schedules:  The activities engaged in, staff-to-client ratios and record that a client was attended to as scheduled. 
  • Service Agreements: The schedule, cost, nature and quality of services to be provided and the expected outcomes 
  • Timesheets:  The service type (including intensity) and duration delivered is recorded in a carer timesheet confirming the delivery of each service as per the schedule.  
NB: Records are to be kept for 
  • at least 7 years from the date of the document. 
  • In the case of Aboriginal and Torres Strait Islander People, records will be kept indefinitely. 
  • Children's records are required to be maintained at least 7 years after their 18th birthday.
Records to maintain
HWH, as a matter of sound business practice, retain all financial records and accounts for 5 years from the date of issue in line with relevant statutes, regulations, by-laws and requirements of any Commonwealth, state, territory or local authority. 

Terms of Business
When delivering our various services, we are committed to the Funding agency's Terms of Business and will renew this commitment annually. 
  • As an NDIS Provider on the NDIS Provider Portal (myplace). 
  • As an iCare provider on the Attendant Care portal
  • As a provider of Aged Care with the Authorised Provider
We understand that failing to renew the Terms of Business will result in delayed or missed payments until renewal.

If requested by the funding agency, we will provide within 30  days from the date of the request, or within the time specified in the request, any of the following documents:
  • a copy of HWH’s most recent financial statements
  • a copy of HWH's most recent insurance certificate, and
  • any document that would reasonably be connected with HWH's provision of services.
We will maintain accurate contact details with the funding body and advise them of any changes to the information contained within the application for registration as soon as is practicable.

Inspection of records by the funding body
We may be reviewed by a funding body relating to services funded by them, and we will cooperate fully with the officers undertaking review activities.

As part of any review, or as otherwise, reasonable request by the funding body to carry out its rights and obligations under the law, we will give the funding body or persons authorised by them (‘those permitted’) access to our systems where accounts and records associated with the provision of services to clients are stored and allow those permitted to inspect and copy all records associated with the provision of services to clients.

We will provide all reasonable assistance requested by those permitted, including making available all accounts and records relating to the provision of services to clients subject to:
  • reasonable prior notice by those permitted (except where those permitted believe there is an actual or apprehended breach of the law)
  • our security procedures.
The requirement for access as specified above does not reduce our responsibility to perform our obligations following any agreement related to providing services to clients.

We will ensure that any subcontract to provide services to clients allows access to accounts and records associated with providing services to clients.

Where a decision by the funding body is the subject of a merits review or complaint, we will cooperate in providing any documents or other information requested. Under section 6C of the Freedom of Information Act 1982 (Cth) (FOI Act), we will provide all documents to the funding body relevant to a request made under the FOI Act within 7 days of receipt of a request from that body.