Record-Keeping Compliance Checklist for Healthcare & Allied Health
A checklist for auditing business record-keeping practices to ensure compliance with legal retention requirements and readiness for regulatory audits.
Includes safeguards for Australian Privacy Principles (APPs), Medicare compliance, and health record management under the My Health Records Act. All patient data handling follows AHPRA guidelines.
Complete Checklist
- 1Review the record retention schedule and confirm it aligns with current legal requirementsCritical
- 2Verify that employment records are being kept for the required seven-year periodCritical
- 3Check that financial records are complete and retained for the required five-year periodCritical
- 4Verify tax records including BAS, invoices, and receipts are properly maintained
- 5Check that WHS incident reports and investigation records are retained appropriately
- 6Review the security and accessibility of both physical and digital record storage
- 7Verify that backup procedures protect digital records from loss
- 8Check that records are organised and can be retrieved efficiently when needed
- 9Review the clinical record destruction process for expired records
- 10Verify that confidential records are stored securely with appropriate access controls
- 11Check that contract and agreement records are complete and accessible
- 12Review insurance records including policies, claims, and certificates
- 13Verify that consultation minutes and corporate governance records are maintained
- 14Check that patient and patient records comply with privacy requirements
- 15Clinical record the review findings and schedule destruction of any expired recordsCritical
Frequently Asked Questions
How long must different types of business records be retained in Australia?
Key retention periods include: financial and tax records for five years from lodgement, employment records for seven years from the date the record is made, WHS records for varying periods depending on the type, corporate governance records permanently, and insurance records for the life of the policy plus seven years. Some industry-specific records have their own retention requirements. When in doubt, retain for longer rather than shorter.
What are the consequences of poor record keeping?
Poor record keeping can result in ATO penalties for inadequate tax records, adverse findings in employment disputes where the burden of proof shifts to the employer, inability to support insurance claims, failed regulatory audits, and difficulty defending against legal proceedings. Good record keeping is a fundamental business discipline that pays for itself many times over when records are needed.
Can business records be stored digitally rather than in physical form?
Yes, Australian tax law allows records to be kept in electronic form provided they are legible, maintained in a way that prevents alteration, and are in English or can be easily converted. Ensure digital records are backed up regularly, accessible when needed, and protected from unauthorised access. Many businesses are transitioning to digital-first record keeping for efficiency and security.
Need help implementing these checks into your daily operations?
Our team can build custom checklists integrated into your daily operations workflow.