Records Authority 2014/00111800

Independent Hospital Pricing Authority

Hospital Pricing Program Delivery

2014

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

Introduction

The Independent Hospital Pricing Authority (IHPA) 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 Hospital Pricing Program Delivery. It represents a significant commitment on behalf of IHPA to understand, create and manage the records of its activities.

This Authority is based on the identification and analysis of the business of IHPA. 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 IHPA 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 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; and
    • records that are identified as Retain as National Archives (RNA) are to be transferred to the National Archives of Australia for preservation.
  2. 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 24 – Records Relating to Data Matching Exercises; and
    • General Records Authority 31 for source (including original) records that have been copied, converted or migrated.
  3. 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.
  4. 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.
  5. 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.
  6. 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 agency 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.
  7. In general, retention requirements indicate a minimum period for retention. IHPA 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 IHPA 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.
  8. Records coming within the 'Retain as national archives' class 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 National 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.
  9. 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.
  10. 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.
  11. Advice on how to use this Authority is available from IHPA's 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 records management 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:

Dr Tony Sherbon
Chief Executive Officer
Independent Hospital Pricing Authority
Level 6, 1 Oxford Street
Sydney NSW 2000

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 Hospital Pricing Program Delivery.

This authority gives permission for the alteration 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.

Authorised by:

David Fricker
Director-General
National Archives of Australia

9 April 2014

Classes

Hospital Pricing Program Delivery

The core business of determining the national efficient price (NEP) and national efficient cost (NEC) for Australian public hospital services to improve efficiency and access to those services. The NEP and NEC are calculated by collecting hospital costing and activity data from state and territory jurisdictions, applying pricing and costing models and consulting with key stakeholders in the Australian health sector.

Includes developing, implementing and reviewing analytical policies, data requirements and standards and classification systems used to define hospital procedures (eg diagnostic related groups (DRG)).

The core activities include:

  • providing and receiving advice and other forms of information;
  • liaising, consulting and receiving submissions from stakeholders;
  • negotiating, establishing and implementing agreements and memorandum of understanding;
  • developing, implementing and reviewing plans, policies, procedures, programs and frameworks;
  • pricing and costing hospital services including developing cost and pricing models, technical specifications, calculators and price adjustments and weights;
  • developing, implementing and reviewing requirements, standards and classification systems for data provision by States and Territories;
  • collecting, managing and analysing hospital data;
  • monitoring compliance with data standards and data requirements;
  • managing and participating in internal and external committees, working groups and meetings; and
  • managing cost-shifting and cross-border disputes.

The performance of the core business is supported by general activities such as:

  • arranging and attending conferences and forums;
  • undertaking research;
  • reviewing and evaluating;
  • auditing;
  • reporting;
  • identifying, assessing and managing risk;
  • receiving and responding to enquiries; and
  • delegating powers and authorising actions. 

Cross references to AFDA Express Records Authority

  • For advice, briefs and submissions to the portfolio Minister, cabinet submissions and the organisation’s participation in formal inquiries, use GOVERNMENT RELATIONS.
  • For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.
  • For acquisition of goods and services, use PROCUREMENT.

Cross references to other records authorities

  • For the establishment and management of the agency’s governing body (the Pricing Authority), including minutes of board meetings and supporting papers, use GOVERNING BODIES.
  • For statutory and non-statutory advisory bodies supporting hospital pricing program delivery, such as the Jurisdictional Advisory Committee and Clinical Advisory Committee, use ADVISORY BODIES.
Class no Description of records Disposal action
61511

The following significant records documenting:

  • master version of national efficient price determinations and national efficient cost determinations. Includes price weights, adjustments and the national weighted activity unit;
  • developing and reviewing costing and pricing models, specifications, calculators and other tools used to price and cost hospital services. Includes final version, major drafts, stakeholder consultations and supporting analysis;
  • developing, implementing and reviewing,  high level policies, plans, strategies, frameworks and programs, such as the Pricing Framework of Australian Public Hospital Services, Three Year Data Plan and Clinical Advisory Committee Work Program. Includes final versions, major drafts, stakeholder consultations and supporting research;
  • high level advice provided to or received from major stakeholders. Includes final version of formal advice, submissions, supporting research and briefs;
  • high level internal and external reports. Includes stakeholder consultations, submissions and supporting research;
  • national and high level reviews relating to the core business. Includes major drafts, submissions and final reports;
  • major research and analysis. Includes final research reports and findings and supporting analysis;
  • outcomes of third party assurance over the suitability and/or effectiveness of data assurance processes;
  • developing and reviewing coding, classification and payment requirements or standards, such as the Diagnostic Related Groups for data provided by States and Territories. Includes final version, major drafts and submissions received during consultation;
  • final outcomes of investigations of cross border disputes arising from interstate cost shifting or funding. Includes final assessments, major drafts, submissions and briefing papers;
  • high level internal and external committees and working groups where the agency provides secretariat support, is the Australian Government’s main representative, or plays a prominent or central role.  Includes establishment documentation, agenda, final version of minutes and tabled papers;
  • final versions of high level agreements and contracts and supporting documents, such as intergovernmental and international agreements, including those that relate to data collection arrangements and international sales of activity based funding coding and classification systems. Includes memoranda of understanding;
  • de-identified hospital patient activity and costing datasets, includes activity based funding datasets from the National Hospital Cost Data Collection and information about data fields, for example data dictionaries, indexes, tables and registers. Includes both aggregate and individual patient episodes; and
  • master version of agency publications.  

[For the publication and distribution of agency publications (eg promotional and training material, guidance, advice and newsletters), use PUBLICATION.]

Retain as national archives
61512

Records documenting:

  • Routine operational administrative tasks supporting the core business; and
  • hospital pricing program delivery activities, other than those covered in class 61511.
Destroy 7 years after action completed
Copyright National Archives of Australia 2017