Records Authority 2011/00396196

Department of Health and Ageing
Aboriginal and Torres Strait Islander Health, Aged Care, Health Workforce, Hearing Services & Medical Indemnity

10 October 2012

This is an accurate reproduction of the authorised records authority content, created for accessibility purposes.

Introduction

The Department of Health and Ageing and the National Archives of Australia have developed this Records Authority to set out the requirements for keeping or destroying records for the core business area of Aboriginal and Torres Strait Islander Health, Aged Care, Health Workforce, Hearing Services and Medical Indemnity. It represents a significant commitment on behalf of the Department of Health and Ageing to understand, create and manage the records of its activities.

This Authority is based on the identification and analysis of the business of the Department of Health and Ageing. It takes into account the agency's legal and organisational records management requirements, and the interests of stakeholders, the agency and the National Archives of Australia.

The Authority sets out those records that need to be retained as national archives and specifies the minimum length of time that temporary records need to be kept. This Authority gives the Department of Health and Ageing permission under the Archives Act 1983, for the destruction of the temporary records described after the minimum retention period has expired. Retention periods for these temporary records are based on: an assessment of business needs; broader organisational accountability requirements; and community expectations, and are approved by the National Archives of Australia on the basis of information provided by the agency.

As changes in circumstances may affect future records management requirements, the periodic review of this Authority is recommended. All amendments must be approved by the National Archives.

Application of this authority

  1. This Authority commences the review of disposal authorisation for records of the Department of Health and Ageing. This Authority supersedes Records Authority 784 (1991). This Authority also partially supersedes RDA 1177 (1995) and RDA CRS A1851/D/A2 (1987). The superseded authorities cannot be used by the Department of Health and Ageing after the date of issue of this Authority.
  2. This Authority is to be used to determine how long records must be kept. Records are matched to the relevant core business and records class in the Authority.
    • Where the minimum retention period has expired and the records are not needed for agency business they should be destroyed as authorised in this Authority.
    • Records that have not reached the minimum retention period must be kept until they do.
    • Records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
  3. This Authority should be used in conjunction with general records authorities such as:
    • the Administrative Functions Disposal Authority (AFDA) and/or AFDA Express issued by the National Archives to cover business processes and records common to Australian Government agencies;
    • General Records Authority (31) For source (including original) records that have been copied, converted or migrated.
  4. The Normal Administrative Practice (NAP) provision of the Archives Act 1983 gives agencies permission to destroy certain records without formal authorisation. This usually occurs where records are duplicated, facilitative or for short-term use only. NAP does not replace arrangements agreed to in this Authority but can be used as a tool to assist in identifying records for destruction together with an agency’s Records Authority or Authorities, and with AFDA and AFDA Express. The National Archives recommends that agencies develop and implement a Normal Administrative Practice policy. Advice and guidance on destroying records as a normal administrative practice and on how to develop an agency NAP policy is available from the National Archives’ website at www.naa.gov.au.
  5. Records that are reasonably likely to be needed as evidence in a current or future judicial proceeding or are subject to a request for access under the Archives Act 1983, the Freedom of Information Act 1982 or any other relevant Act must not be destroyed until the action has been completed.
  6. Records subject to a disposal freeze must not be destroyed until the freeze has been lifted. Further information about disposal freezes and whether they affect the application of this Authority is available from the National Archives website at www.naa.gov.au.
  7. Where the method of recording information changes (for example from a manual system to an electronic system, or when information is migrated from one system to a new system) this Authority can still be applied, providing the records document the same core business. The information must be accessible for the period of time prescribed in this Authority. The Department of Health and Ageing will need to maintain continuing access to the information, including digital information, for the periods prescribed in this records authority or until the information is transferred into the custody of the National Archives.
  8. In general, retention requirements indicate a minimum period for retention. The Department of Health and Ageing may extend minimum retention periods if it considers that there is an administrative need to do so, without further reference to the National Archives. Where the Department of Health and Ageing believes that its accountability will be substantially compromised because a retention period or periods are not adequate, it should contact the National Archives for review of the retention period.
  9. Records coming within ‘Retain as national archives’ classes in this Authority have been determined to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983. The determination of Commonwealth records as archival resources of the Commonwealth obliges agencies to transfer the records to the Archives when they cease to be current and, in any event, within 15 years of the records coming into existence, under Section 27 of the Archives Act 1983.
  10. Records in the care of agencies should be appropriately stored, managed and preserved. Agencies need to meet this obligation to ensure that the records remain authentic and accessible over time. Under Section 31 of the Archives Act 1983, access arrangements are required for records that become available for public access including those records that remain in agency custody.
  11. Appropriate arrangements should be made with the National Archives when records are to be transferred into custody. The National Archives accepts for transfer only those records designated as national archives.
  12. Advice on how to use this Authority is available from the Department of Health and Ageing records manager. If there are problems with the application of the Authority that cannot be resolved, please contact the National Archives.

Contact information

For assistance with this authority or for advice on other recordkeeping matters, please contact National Archives' Agency Service Centre.

Queen Victoria Terrace
Parkes ACT 2600

PO Box 7425
Canberra Mail Centre ACT 2610

Email: recordkeeping@naa.gov.au
Website: www.naa.gov.au

Authorisation

Person to whom notice of authorisation is given:

Ms Jane Halton
Department Secretary
Department of Health and Ageing
GPO Box 9848
Canberra ACT 2601

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of the Archives Act 1983.
Determines records classed as ‘Retain as national archives’ in this Records Authority to be part of the archival resources of the Commonwealth under Section 3C of the Archives Act 1983.

Application:

All core business records relating to Aboriginal and Torres Strait Islander Health, Aged Care, Health Workforce, Hearing Services, Medical Indemnity.

This authority gives permission for the destruction, retention or transfer to the National Archives of Australia of the records described. This authority will apply only with the consent of the agency currently responsible for the business documented in the records described.

David Fricker
Director-General
National Archives of Australia

10 October 2012

Classes

Aboriginal and Torres Strait Islander Health

The core business of improving the health of Aboriginal and Torres Strait Islander peoples by providing and promoting access to comprehensive primary health care. This includes clinical care, population health and health promotion activities to facilitate illness prevention, early intervention and effective disease management. It includes the developing of Indigenous specific health policies and programs and Indigenous specific services in the mainstream health system. This core business includes targeted programs addressing family issues and the administration of funding to Aboriginal and Torres Strait Islander community controlled health and substance use services.

Note: This core business should only be used to sentence records of programs and services that are specific to Aboriginal and Torres Strait Islander peoples. For mainstream health programs and services, including those provided to Aboriginal and Torres Strait Islander peoples as part of the Australian population, use the relevant core business.

The core tasks associated with Aboriginal and Torres Strait Islander health include:

  • developing and implementing policies, procedures, plans and strategies;
  • managing funding programs;
  • negotiating, establishing and administering national agreements;
  • conducting research and analysis;
  • consulting with stakeholders;
  • collecting data; and
  • giving or receiving advice.

The performance of the core business is supported by routine administrative tasks such as:

  • evaluating and reviewing policies, processes, systems and procedures;
  • monitoring and reporting on policies and programs;
  • developing briefings, submissions and reports;
  • managing internal and external meetings and committees;
  • identifying, assessing and managing risk;
  • facilitating the conduct of audits;
  • preparing and presenting speeches and addresses;
  • negotiating, establishing and administering agreements with specific individuals and organisations; and
  • arranging and attending conferences.

For the preparation of budget estimates, budget proposals, cost modelling, and making financial transactions, use AFDA/AFDA Express - Financial Management.

For the management of grants, use Grant Management General Records Authority 28.

For statutory and non-statutory advisory bodies supporting Aboriginal and Torres Strait Islander health, use the Advisory Bodies General Records Authority 26.

For the procurement of goods and services, use AFDA/AFDA Express – Procurement.

For the publication and distribution of agency publications, including standards, use AFDA/AFDA Express – Publication.

For advice to the Minister, ministerial submissions, and the development of legislation, use AFDA/AFDA Express – Government Relations.

Class no Description of records Disposal action
49882

The following significant records documenting:

  • development and implementation of policies and strategies supporting the core business of Aboriginal and Torres Strait Islander health;
  • national and regional plans developed to support or to provide access to Aboriginal and Torres Strait Islander health services and programs;
  • development, implementation and monitoring of programs and services designed specifically to improve the health and wellbeing of Aboriginal and Torres Strait Islander people. Includes abandoned projects of significant public interest;
  • provision of funding for Aboriginal and Torres Strait Islander health programs or services. Includes guidelines and criteria, accreditation, investigations and other supporting records. Also includes summary records of: funding programs and successful and unsuccessful applications;
  • high level agreements, memorandums of understanding, and deeds of standing offer relating to the provision of funding for Aboriginal and Torres Strait Islander health programs or services. Includes supporting records;
  • significant or controversial agreements with specific individuals or organisations;
  • advice provided to or received from stakeholders relating to Aboriginal and Torres Strait Islander health issues, including reports and submissions;
  • external and high level internal committees relating to Aboriginal and Torres Strait Islander health, where the agency provides secretariat support, is the Australian Government’s main representative, or plays a prominent or central role. Includes documents establishing the committee, agenda, final versions of minutes, reports, briefing notes and tabled papers;
  • research concerning Aboriginal and Torres Strait Islander health matters. Includes Indigenous specific data principles, research plans, final major datasets, longitudinal studies and surveys;
  • liaison and consultation with peak bodies, key stakeholders, Indigenous communities and community-controlled organisations, and other government agencies. Includes significant supporting documentation such as submissions and minutes;
  • final reports on evaluations and reviews, and service and program outcomes;
  • final versions of speeches and addresses presented by the portfolio Minister or senior agency staff in support of Aboriginal and Torres Strait Islander health, including addresses presented at conferences; and
  • conference papers delivered by agency staff at conferences hosted by the agency on the subject of Aboriginal and Torres Strait Islander health.

[For signed agreements and contracts under seal with specific individuals and organisations that are not significant or controversial, use classes 49883 and 49884.]

Retain as national archives
49883 Signed agreements and contracts executed under seal prior to 15 November 2005 with organisations or individuals relating to Aboriginal and Torres Strait Islander health care services and programs, and supporting records: Western Australia. Excludes agreements and contracts covered under class 49882. Destroy 21 years after completion or other termination of agreement.
49884

Signed agreements and contracts executed under seal with organisations or individuals relating to Aboriginal and Torres Strait Islander health care services and programs, and supporting records: all States and Territories and Western Australia (from 15 November 2005). Excludes agreements and contracts covered under class 49882.

Note: This authority does not permit the destruction or other disposal of records made by agencies in the Northern Territory for the purposes of the Commonwealth's administration of the Northern Territory before 1 January 1979.

Destroy 15 years after completion or other termination of agreement.
49885

Other records, including:

  • routine operational administrative tasks supporting the core business; and
  • Aboriginal and Torres Strait Islander health activities, other than those covered in classes 49882 - 49884.

Note: This authority does not permit the destruction or other disposal of records made by agencies in the Northern Territory for the purposes of the Commonwealth’s administration of the Northern Territory before 1 January 1979.

Destroy 7 years after last action.

Aged Care

The core business of delivering aged care services, including residential, community and flexible care services.

The core tasks associated with aged care include:

  • developing, implementing and reviewing aged care policies, strategies, plans, standards and programs;
  • determining the demand and capacity for aged care services in geographical areas;
  • allocating places to approved providers;
  • receiving, evaluating and processing applications from organisations to become providers of aged care services, including residential, community and flexible care services;
  • monitoring aged care service providers for compliance with standards or requirements, and applying sanctions to non-complying service providers where necessary. Includes suspending approvals;
  • managing and investigating complaints, including complaints against service providers;
  • managing appeals against agency decisions;
  • processing and assessing applications from individuals to become recipients of aged care services;
  • providing financial assistance in support of aged care, including primary care supplements, accommodation, or other payments;
  • establishing funding agreements;
  • providing and managing capital grants and subsidised loans for the construction of aged care facilities; and
  • conferring aged and community care awards.

The performance of the core business is supported by routine administrative tasks such as:

  • developing, implementing and reviewing aged care processes, systems and procedures;
  • providing advice and other forms of information;
  • managing public enquiries and submissions;
  • conducting research;
  • planning, conducting and facilitating internal and external audits;
  • managing and participating in internal and external meetings and committees;
  • liaising and consulting with government and non-government stakeholders, including members of the public, on aged care matters;
  • developing reports and submissions;
  • preparing and presenting speeches and addresses;
  • arranging and attending conferences; and
  • identifying, assessing and managing risk.

For services and programs designed to prevent or reduce the incidence of chronic diseases such as arthritis, asthma, cancer, diabetes, and cardiovascular disease, use Chronic Disease Prevention.

For policies, strategies, programs and campaigns designed to promote healthy environments and lifestyle behaviours (including healthy ageing), prevent disease through vaccinations, inform the community about lifestyle risk factors, including alcohol, tobacco and substance abuse, and ensure the safety of food, use Health Promotion and Safety.

For policies, strategies, programs and services designed to improve access to medical and health care services including both primary (eg GPs, clinics) and acute care (eg hospitals), use Medical and Health Care Access.

For medical and health care access services and programs for the aged that relate to pharmaceutical benefits, use Pharmaceutical Benefits.

For medical and health care access services and programs for the aged that relate to hearing services, use Hearing Services.

For policies, strategies, programs and services designed to support the health of Aboriginal and Torres Strait Islander (ATSI) people, use Aboriginal and Torres Strait Islander Health.

For policies, strategies, programs and services designed to address broader social health issues in the community, including mental illness, use Mental Health.

For statutory and non-statutory advisory bodies supporting aged care, use the Advisory Bodies GRA.

For the preparation of budget estimates, budget proposals, cost modelling, and making financial transactions, use AFDA/AFDA Express - Financial Management.

For the procurement of goods and services, including contractors or consultants, use AFDA/AFDA Express - Procurement.

For advice to the Minister, ministerial submissions, and the development of legislation, use AFDA/AFDA Express – Government Relations.

Class no Description of records Disposal action
51001

The following significant records documenting:

  • development and implementation of national and high level internal policies, strategies, plans and programs for aged and community care. Includes final versions, proposals, submissions, records of consultation, working papers and related research;
  • external and high level internal committees relating to aged care, where the agency provides secretariat support, is the Australian Government’s main representative, or plays a prominent or central role. Includes establishment records, agenda, final versions of minutes, reports, briefing notes and tabled papers;
  • signed versions of agreements and contracts (including contracts under seal) and supporting documents, where the contracts and agreements: relate to the provision of aged or community care funding to States and Territories and other Commonwealth agencies; are controversial or ground-breaking in nature; or, substantially impact upon the provision of aged care services in Australia. Includes joint venture agreements, Memorandums of Understanding and deeds of standing offer;
  • national and sector-wide reviews of aged and community care services and programs, including major drafts, submissions and final reports (eg Review of the Aged Care Funding Instrument);
  • outcomes of major internal reviews where the review: investigates controversial matters or matters of public interest; has far reaching implications for the provision of aged care services and programs; or results in significant changes to agency policy and programs;
  • consolidated reports of aged care place allocations by geographic region which are the results of decisions made to approve aged care places, known generally as the aged care approval rounds. Includes aged care planning region maps;
  • final versions of standards developed to support the delivery of aged or community care services, including the Manual of Standards and Guidelines for Residential Aged Care Services;
  • advice provided to or received from major national stakeholders relating to aged care issues, including in the form of reports and submissions;
  • master versions of agency publications produced to support aged and community care. Includes newsletters and information sheets;
  • findings or outcomes of research into aged or community care, including demographic research and modelling. Incudes final research reports;
  • final versions of internal or external reports which result in substantial changes to agency policy and programs, relate to aged care issues that are controversial or of public interest, or substantially impact upon the provision of aged care services;
  • datasets consolidating information on service providers and service recipients, such as those generated by the Aged and Community Care Management Information System (ACCMIS). Includes relevant data dictionaries;
  • investigations into complaints about aged care providers or residential care facilities that are high profile or controversial, have far reaching implications for the provision of aged care services and programs, or result in significant changes to agency policy and programs;
  • reports, papers and proceedings of national aged care conferences hosted by the agency;
  • appeals or reviews of decisions made by the agency under health care legislation that are precedent setting, relate to issues that are controversial or of public interest, or result in significant changes to agency policy or programs;
  • ceremonies for conferring national aged care awards, including supporting records such as programs, invitations, photographs and award recipient nomination and assessment; and
  • final versions of speeches and addresses presented by the portfolio Minister or senior agency staff in support of the aged care core business, including addresses presented at conferences.
Retain as national archives
51156

Records documenting projects relating to the construction of aged care facilities that are funded through capital grants or subsidised loans approved by the agency. Excludes records of projects that are abandoned.

[For the management of grants (including grants awarded through grant funding agreements), other than capital grants for the construction of aged care facilities, use GRANT MANAGEMENT General Records Authority 28.

For agreements establishing agency approved subsidised loans, use classes 51001, 51157, 51158, 51159 or 51174.

For the management of agency approved subsidised loans, use class 51174.

For capital grant or subsidised loan projects that have been abandoned, use class 51174.]

Destroy 80 years after last action.
51157

Signed agreements or contracts executed under seal prior to 15 November 2005 with individuals, organisations, non-government agencies, and companies relating to the provision of aged care services or programs, and supporting records: Western Australia. Excludes agreements and contracts covered under class 51001.

Destroy 21 years after completion or other termination of agreement.
51158

Signed agreements or contracts executed under seal with individuals, organisations, non-government agencies, and companies relating to the provision of aged care services or programs, and supporting records: Victoria and South Australia. Excludes agreements and contracts covered under class 51001.

Destroy 15 years after completion or other termination of agreement.
51159

Signed agreements or contracts executed under seal with individuals, organisations, non-government agencies, and companies relating to the provision of aged care services or programs, and supporting records: New South Wales, Queensland, Australian Capital Territory, Northern Territory, Tasmania and Western Australia (from 15 November 2005). Excludes agreements and contracts covered under class 51001.

Destroy 12 years after completion or other termination of agreement.
51160

Records documenting:

  • appeals or reviews of decisions made by the agency under aged care legislation, other than those covered in class 51001;
  • unsuccessful applications to be a provider of residential care, community care or flexible care services; and
  • ceremonies for conferring general, non-national aged and community care related awards, including supporting records.
Destroy 10 years after action completed.
51166

Master sets of manuals, guidelines, handbooks, procedures and directives supporting the core business of aged care, other than those covered in class 51001.

Destroy 10 years after superseded.
51168

Records, including case files, relating to the approval of aged care service providers. Includes records documenting:

  • receipt and assessment of applications from, and the approval of providers of, residential care, community care and flexible care services against provider approval principles, and the notification to service providers of approval, including any conditions applied to the approval. Includes successful applications, research material, recommendations, correspondence, minutes, briefs and phone transcripts;
  • receipt, assessment and processing of applications for the allocation of aged care places, including for the transfer of places, the variation or revoking of allocations, the processing of fees received with applications, the processing of applications for extra service status allocations, and the allocation and notification to service providers of available places including any conditions applied to the approval. Includes applications received from aged care providers, the final Minute (signed by the Minister, approving the final numbers of allocations), maps, decision making processes, supporting data, letters of offer, decline/rejection letters, transcripts and notes for file, research material, recommendations, internal and external correspondence, briefs and phone transcripts;
  • monitoring or audit of aged care service providers for compliance with service standards. Includes briefs, internal and external correspondence, reports of spot visits, warrants, records of investigations and police liaison, final monitoring or audit reports, and recommendations for action;
  • investigations of complaints against service providers, including records of mediation and other forms of conciliation, other than those covered in class 51001;
  • suspension of approved providers from making appraisals or authorising others to make appraisals regarding the level of care provided to recipients;
  • advice and other forms of information received from or provided to aged care service providers;
  • revoking of approvals of providers of aged care services;
  • revoking of certification of residential aged care services; and
  • receipt, assessment and processing of applications for grants from aged care service providers for the delivery of specific aged care services and programs or related purposes. Includes successful and unsuccessful applications, correspondence, notes for file, minutes and briefs, copies of payment releases, reimbursements and phone transcripts.
  • [For unsuccessful applications to become approved aged care service providers, use class 51174.

    For unsuccessful applications by service providers for the allocation and transfer or variation of aged care places, use class 51174.]

Destroy 7 years after the service provider ceases to be an approved provider.
51170

Records, including case files, relating to the recipients of residential care, community care, or flexible care services. Includes:

  • advice and other forms of information received or provided to aged care recipients, including about recipient care levels. Includes forms providing detailed information about the level of care required by recipients, correspondence, briefs, phone transcripts and visit reports;
  • receipt, assessment, processing and approval of applications for subsidies and financial hardship assistance from care recipients;
  • expiration, lapsing or revocation of approvals for recipients of aged care services; and
  • determinations and notifications, including the notification of decisions to recipients of aged care or other services.
Destroy 7 years after the care recipient ceases to receive care.
51172

Records documenting:

  • handling routine public enquiries about the core business of aged and community care;
  • monitoring and evaluation of public reaction to and the initial investigation of low level, general complaints about aged care services, including through surveys and stakeholder consultation;
  • administration of routine low level internal agency meetings, including minutes and supporting documents; and
  • administrative arrangements for conferences, seminars or forums arranged by the organisation, including program development records, invitations to speakers, registrations, venue bookings, and travel and catering arrangements.
Destroy 3 years after action completed.
51174

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • aged care activities, other than those covered in classes 51001, 51156 – 51160, 51166, 51168, 51170 and 51172.
Destroy 7 years after action completed.

Health Workforce

The core business of supporting and developing the health workforce and also improving access to health and medical professionals in regional and remote areas of Australia including through the provision of funding.

The core tasks associated with health workforce include:

  • developing, implementing and reviewing health workforce policies, procedures, strategies, plans and programs, including a national registration and accreditation scheme;
  • administering, marketing and managing health workforce programs and services;
  • liaising and consulting with key stakeholders, including educational and health care facilities, health care professionals and medical practitioners, health care and medical students, and other government agencies;
  • processing applications for access to funding to improve the education of the health workforce or to provide access to educational facilities;
  • establishing funding agreements with State and Territory Governments, workforce bodies, external agencies, universities and colleges and other organisations; and
  • collecting and analysing data, including through surveys, and conducting research.

The performance of the core business is supported by routine administrative tasks such as:

  • reviewing health workforce processes, systems, standards and products;
  • managing public enquiries and customer services;
  • providing advice, submissions and other forms of information, including marketing materials, about health workforce programs and services;
  • developing internal and external reporting;
  • managing and participating in internal and external meetings and committees;
  • managing informal appeals;
  • preparing and presenting speeches and addresses;
  • arranging and attending conferences;
  • identifying, assessing and managing risks; and
  • planning, conducting or facilitating internal and external audits.

For the preparation of budget estimates, budget proposals, cost modelling, and making financial transactions, use AFDA/AFDA Express - Financial Management.

For the procurement of goods and services in support of health workforce programs, use AFDA/AFDA Express – Procurement.

For the publication and distribution of agency publications, including publishing standards and marketing material, use AFDA/AFDA Express – Publication.

For the management of grants, including grant funding agreements, use GRANT MANAGEMENT General Records Authority 28.

For advice to the Minister, ministerial submissions, and the development of legislation, use AFDA/AFDA Express – Government Relations.

Class no Description of records Disposal action
46684

The following significant records documenting:

  • development and implementation of national and high level internal policies, strategies and plans designed to support, develop and provide access to health and medical professionals, and to support the implementation of national registration and accreditation standards for the health workforce. Includes final versions, working papers, supporting materials, and related research;
  • development and implementation of national programs and reform initiatives designed to develop and provide access to health and medical professionals;
  • summary information of recipients of scholarships and Commonwealth supported placements, including bonded medical placements. Includes summary information contained in relevant registers and databases (eg SKOLTRAC database);
  • external and high level internal committees relating to the health workforce core business, where the agency provides the secretariat, is the Australian Government’s main representative, or plays a prominent or central role. Includes documents establishing the committee, agenda, final versions of minutes, reports, briefing notes and tabled papers;
  • national and sector wide health workforce program reviews, including major drafts, submissions and final reports;
  • outcomes of major internal reviews where the review: investigates matters of controversy or public interest; has far reaching implications for the health workforce; or results in significant changes to agency policy and programs;
  • signed versions of significant contracts and agreements (including those executed under seal) and supporting documents, where the contracts and agreements: relate to substantial funding arrangements with States and Territories and other organisations; are controversial or ground-breaking in nature; or, substantially impact on Australia’s health workforce. Includes joint venture agreements and Memorandums of Understanding with other government agencies.
  • advice provided to or received from major national stakeholders relating to health workforce issues including in the form of reports and submissions;
  • high level internal meetings relating to health workforce matters;
  • findings or outcomes of research into health workforce trends, including demographic research and workforce modelling;
  • high level reports and reports prepared in relation to controversial health workforce matters (eg reports of the Medical Training Review Panel);
  • marketing campaigns promoting health workforce programs and services, where the campaign is: innovative or ground breaking; generates significant public interest or controversy; or has a substantial impact on the health workforce. Includes conducting market research and developing marketing materials;
  • final versions of speeches and addresses presented by the portfolio Minister or senior agency staff in support of the health workforce core business, including addresses presented at conferences; and
  • final outputs of data collection undertaken in support of the health workforce core business, including data sourced from external sources or collected internally. Includes master versions of datasets.
Retain as national archives.
46685

Signed agreements or contracts executed under seal prior to 15 November 2005 with State and Territory Governments, health workforce bodies, external agencies, universities, colleges and other organisations relating to health workforce services and programs, or with individual medical students in relation to bonded medical places, and supporting records: Western Australia. Excludes agreements and contracts covered under class 46684.

Destroy 21 years after completion or other termination of agreement.
46686

Signed agreements or contracts executed under seal with State and Territory Governments, workforce bodies, external agencies, universities, colleges and other organisations relating to health workforce services and programs, or with individual medical students in relation to bonded medical places, and supporting records: Victoria and South Australia. Excludes agreements and contracts covered under class 46684.

Destroy 15 years after completion or other termination of agreement.
46687

Signed agreements or contracts executed under seal with State and Territory Governments, workforce bodies, external agencies, universities, colleges and other organisations relating to health workforce services and programs, or with individual medical students in relation to bonded medical places, and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory, Northern Territory and Tasmania. Excludes agreements and contracts covered under class 46684.

Destroy 12 years after completion or other termination of agreement.
46688

Records documenting:

  • provision of funding to State and Territory Governments, peak workforce bodies, external agencies and other organisations as part of funding agreements designed to support, develop and provide access to health and medical professionals, including in regional and remote areas;
  • receipt, assessment and processing of applications from health and medical professionals for financial assistance that is not in the form of a grant. Includes unsuccessful applications and applications from medical professionals who are ineligible to receive benefits;
  • planning and conduct of internal and external audits relating to the core business of health workforce. Includes records of liaison and consultation with stakeholders and auditing bodies, meeting notes, comments and reports, research materials and working papers; and
  • promotion and marketing of health workforce programs and services, including conducting market research and developing marketing materials, other than those covered in class 46684. Includes design proofs and communication strategies.

[For agreements establishing funding to State and Territory Governments, peak workforce bodies, external agencies and other organisations, use classes 46684 - 46687.]

Destroy 10 years after last action.
46689

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • health workforce activities, other than those covered in classes 46684 – 46688.
Destroy 7 years after last action or policy is superseded.

Hearing Services

The core business of improving the hearing of Australians by facilitating access to hearing services for eligible people and reducing the incidence of hearing loss in the community. Includes the development of policy and programs based on research into hearing loss and hearing services.

The core tasks associated with hearing services include:

  • developing clinical service standards;
  • receiving, evaluating and processing applications from organisations to provide hearing services;
  • accrediting, negotiating and managing contracts with, and issuing certificates to, providers of hearing services;
  • monitoring of qualifications of individual hearing service practitioners and compliance with rules of conduct for accreditation and standards for clinical services, and carrying out compliance actions;
  • receiving and processing applications, and issuing vouchers to clients for access to hearing services;
  • providing funding to organisations and laboratories;
  • delivering and reviewing customer services including the management of complaints; and
  • managing appeals and reviews relating to the accreditation process.

The performance of the core business is supported by routine administrative tasks such as:

  • developing policies, strategies, plans, service charters, processes, systems and procedures;
  • conducting liaison and consultation with stakeholders;
  • providing advice and other forms of information;
  • developing internal and external reporting;
  • managing internal and external meetings and committees;
  • preparing and presenting speeches and addresses;
  • arranging and attending conferences;
  • conducting or facilitating the conduct of audits; and
  • identifying, assessing and managing risk.

For the preparation of budget estimates, budget proposals, cost modelling, and making financial transactions, use AFDA/AFDA Express - Financial Management.

For the procurement of goods and services, use AFDA/AFDA Express – Procurement.

For the publication and distribution of agency publications including standards, use AFDA/AFDA Express – Publication.

For statutory and non-statutory advisory bodies supporting hearing services, use the Advisory Bodies General Records Authority 26.

For advice to the Minister, ministerial submissions, and the development of legislation, use AFDA/AFDA Express – Government Relations.

For Indigenous specific hearing services, use Aboriginal and Torres Strait Islander Health.

Class no Description of records Disposal action
47461

The following significant records documenting:

  • development and implementation of national policies, strategies, plans and standards designed to support and develop hearing services. Includes final versions, supporting documentation and related research;
  • final reports of programs and other high level reviews;
  • external and high level internal committees relating to hearing services, where the agency provides the Secretariat, is the Commonwealth’s main representative, or plays a prominent or central role. Includes documents establishing the committee, agenda, final versions of minutes, reports, briefing notes and tabled papers;
  • findings or outcomes of research into hearing loss issues. Includes final research reports;
  • development, monitoring and review of accreditation standards for hearing services and qualifications for individual health practitioners;
  • provision of funding for national research projects or sponsorship of sporting or other major events for the hearing impaired;
  • register of accredited contracted service providers;
  • final versions of speeches and addresses presented by the portfolio Minister or senior agency staff in support of the hearing services core business, including addresses presented at conferences; and
  • outcomes of major reviews and appeals which are related to matters of controversy or public interest.
Retain as national archives.
47462

Records documenting:

  • high level liaison, consultation and meetings with peak bodies, key stakeholders, other government agencies and other parts of the agency; and
  • customer satisfaction research including survey data and supporting documentation.
Destroy 50 years after last action.
47463

Signed agreements or contracts executed under seal prior to 15 November 2005 with individuals or organisations relating to hearing services and programs, and supporting records: Western Australia.

Destroy 21 years after completion or other termination of agreement.
47464

Signed agreements or contracts executed under seal with individuals or organisations relating to hearing services and programs, and supporting records: Victoria and South Australia.

Destroy 15 years after completion or other termination of agreement.
47465

Signed agreements or contracts executed under seal with individuals or organisations relating to hearing services and programs, and supporting records: New South Wales, Western Australia (from 15 November 2005), Queensland, Australian Capital Territory, Northern Territory and Tasmania.

Destroy 12 years after completion or other termination of agreement.
47466

Records documenting:

  • provision of funding to organisations and laboratories for the delivery of services, research, or programs supporting the core business; and
  • procedures relating to clinical services and qualifications.

[For agreements establishing funding to organisations and laboratories, use classes 47463, 47464, 47465 or 47470.]

Destroy 15 years after last action.
47467

Records documenting appeals or reviews of decisions made by the agency under hearing services legislation, other than those covered in class 47461.

Destroy 10 years after action completed.
47468

Records documenting the receipt, evaluation and processing of applications from organisations seeking to be accredited as providers of hearing services; the management of accreditation processes including the issuing of certificates, liaison with of service providers; monitoring and audit of service providers against compliance standards. Includes case files for individual service providers, and related legal advice.

[For litigation related records and legal advice relating to the interpretation of an agency’s own legislation, use AFDA/AFDA Express – LEGAL SERVICES.

For records of unsuccessful applications from organisations seeking to become accredited hearing services providers, use class 47470.]

Destroy 7 years after completion or other termination of contract or accreditation, whichever is later.
47469

Clinical and client records maintained by hearing service providers under contract, and records documenting the issuing of hearing services vouchers to approved applicants.

[For claims made by service providers using data from the vouchers and the payment of claims, use AFDA/AFDA Express - FINANCIAL MANAGEMENT.]

Destroy 1 year after client is confirmed deceased or 7 years after last recorded contact, whichever is sooner.
47470

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • hearing services activities, other than those covered in classes 47461 – 47469.
Destroy 7 years after last action.

Medical Indemnity

The core business of contributing towards the availability of medical services in Australia by providing Commonwealth assistance to support access by medical practitioners to arrangements that indemnify them for claims arising in relation to their practice of their medical professions. Includes managing records of former medical indemnity schemes and programs.

The core tasks associated with medical indemnity include:

  • developing, implementing, and reviewing medical indemnity policies, strategies, plans, programs and schemes;
  • liaising and consulting with stakeholders, including the Australian Medical Association and medical practitioners, the medical insurance industry, peak industry groups, other government agencies and professional colleges;
  • providing and receiving advice;
  • managing medical indemnity deeds created from 29 April 2002 to 30 June 2002; and
  • managing records relating to the former Medical Indemnity Subsidy Scheme that ran from 2002 to 2004.

The performance of the core business is supported by routine administrative tasks such as:

  • planning, conducting or facilitating internal and external audits;
  • arranging and attending conferences;
  • preparing and presenting speeches and addresses;
  • delivering and reviewing customer services, including the management of complaints;
  • managing and participating in internal and external meetings and committees;
  • developing, implementing, and reviewing internal processes, systems and procedures; and
  • developing internal and external reporting.

For the preparation of budget estimates, budget proposals, cost modelling, and making financial transactions, use AFDA/AFDA Express - Financial Management.

For the procurement of goods and services in support of medical indemnity programs, use AFDA/AFDA Express – Procurement.

For the publication and distribution of agency publications, including publishing standards, use AFDA/AFDA Express – Publication.

For advice to the Minister, ministerial submissions, and the development of legislation, use AFDA/AFDA Express - Government Relations.

Class no Description of records Disposal action
46677

The following significant records documenting:

  • development and implementation of national policies and strategies for medical indemnity. Includes the final versions, supporting materials including working papers, related research, submissions from external bodies to high level policy reviews, and final reports used as the basis for policy formulation;
  • development, implementation, evaluation and review of medical indemnity programs, plans, strategies and schemes;
  • advice provided to or received from major national stakeholders relating to medical indemnity issues including in the form of reports and submissions;
  • liaison and consultation with peak bodies, key stakeholders, and other government agencies with responsibility for administering the legislation, for example in relation to standards for medical indemnity products. Includes liaison with peak consumer groups to provide medical indemnity for specialised groups such as midwives, and internal consultation to provide specialised programs (eg workforce distribution programs);
  • external and high level internal committees and working groups relating to medical indemnity, where the agency provides secretariat support, is the Australian Government’s main representative or plays a leading role. Includes documents establishing the committee, agenda, final versions of minutes, reports, briefing notes and tabled papers;
  • significant reporting on medical indemnity issues, including: reports produced by other organisations on behalf of the Department on medical indemnity matters; summary reports of payments made to medical indemnity insurers and doctors; internal reports created as a result of the analysis of external reports on medical indemnity, including as a consequence of monitoring of the medical indemnity industry by other organisations; and high level reports relating to prudential supervision and product standards;
  • final versions of speeches and addresses presented by the portfolio Minister or senior agency staff in support of the medical indemnity core business, including addresses presented at conferences; and
  • development and delivery of a dedicated medical indemnity information line.
Retain as national archives.
46678

Incidents occurring insurance policies issued in the form of indemnity deeds for the period 29 April 2002 to 30 June 2002 insuring former members of United Medical Protection.

Destroy 20 years after last action.
46679

Signed agreements or contracts executed under seal prior to 15 November 2005 with individuals, organisations, government and non-government agencies, and companies relating to medical indemnity services and programs, and supporting records: Western Australia.

Destroy 21 years after completion or other termination of agreement.
46680

Signed agreements or contracts executed under seal with individuals, organisations, government and non-government agencies, and companies relating to medical indemnity services and programs, and supporting records: Victoria and South Australia.

Destroy 15 years after completion or other termination of agreement.
46681

Signed agreements or contracts executed under seal with individuals, organisations, government and non-government agencies, and companies relating to medical indemnity services and programs, and supporting records: New South Wales, Queensland, Australian Capital Territory, Northern Territory, Tasmania and Western Australia (from 15 November 2005).

Destroy 12 years after completion or other termination of agreement.
46682

Records relating to individual doctors that were created in relation to the former Medical Indemnity Subsidy Scheme that ran from 2002 to 2004.

Destroy 15 years after last action.
46683

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • medical indemnity activities, other than those covered in classes 46677 – 46682.
Destroy 7 years after last action.
Copyright National Archives of Australia 2017