Independent review body access to client files
Status of this guide
This guide provides general comments on the disclosure and release of a service provider’s client files to aDepartment of Health and Human Services (Department) endorsedindependent review body and is designed to assist service providers in self-assessing whether they can do so.
This guide does not constitute legal advice. It is intended to offer general guidance only to assist where service providers may be uncertain.
Introduction
Service providers funded under a departmental Service Agreement are required to meet the Human Services Standards[1] (Standards) (gazettedas Department of Health and Human Services Standards).The Department’s Service Agreement provides that, unless exempted by the Department, service providersmust undertake a performance review against the Standards (to be conducted by aDepartment-endorsed independent review body) once every three years, and achieve and maintainaccreditation against the Standards.
Disability service providers registered under the Disability Act 2006 (Vic) and registered community services under the Children,Youth and Families Act 2005 (Vic) should familiarise themselves with their respective obligations regarding reviews against the Standards under the legislation applicable to them.
Frequently Asked Questions
Is my organisation required to release client files to an independent review body?
Service providersin scope of the Standards arerequired to make their client files available to independent review bodies during an independent review against the Standards.
Why does my organisation need to release client files to the independent review body?
Service providers in scope of the Standards are, unless exempt, required to undertake independent reviews against the Standards once every three yearsand achieveand maintain accreditation.
Independent reviews must be undertaken by a department-endorsed independent review body,[2] in accordance with the Department’s Service Agreement with funded organisations, section 98 of the Disability Act 2006 and/or section 63 of the Children, Youth and Families Act 2005.
In order to achieve and maintain accreditation against the Standards, a service provider must comply with all requirements specified by its chosenindependent review body. All independent review bodies authorised by the Department to conduct reviews will require access to the service provider’s client files to undertake client file audits.
Client file audits are an important component of independent reviews, as they showthe Department – and service providers themselves – that servicesare being delivered in accordance with the Standards, relevant legislation and program requirements.
Is client consent required to release files to the independent review body?
Service providers will need to satisfy themselves that they are complying with all relevant legal obligations, including but not limited to obligations that may arise under:
- their ServiceAgreement with the Department (see, for example, clause 17)
- theDisability Act 2006 (see, for example, sections 39, 58, 97 and 98)
- the Children, Youth and Families Act 2005(see, for example, sections 60, 64, 65 and 72)
- the Privacy and Data Protection Act 2014, including the Information Privacy Principles at Schedule1 and
- the Health Records Act2001, including the Health Privacy Principles at Schedule1.
Service providers may wish to refer to the website of the Commissioner for Privacy and Data Protection for general guidance regarding the Privacy and Data Protection Act 2014.
Service providers should seek their own legal advice if they are unsure as to their legal obligations. The Department cannot provide service providers with such advice.
Service providers may elect to redact identifying information prior to the release of client files to an independent review body for the purposes of a review against the Standards where there are concerns around sharing identifying information.
What are the obligations of the independent review body?
Independent review bodies are required to undertake independent reviews in accordance with the terms of their agreements with the Department or the JAS-ANZ[3] Human Services Scheme Part 1 (Common requirements for bodies certifying Human Services) and Part4 (Additional requirements for bodies certifying Human Services in Victoria).
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© State of Victoria, Department of Health and Human Services, October 2015.
Available at
Human Services Standards fact sheet – Independent review body access to client files1
[1]For further information regarding the Standards, refer to the department’s website at:
[2]For further information regarding independent review bodies, refer to the department’s website at: <
[3]Joint Accreditation System of Australia and New Zealand (<