Records Authority - 2016/00110866

National Health Performance Authority

Health Performance Reporting

Introduction

The National Health Performance Authority 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 Health Performance Reporting. It represents a significant commitment on behalf of National Health Performance Authority to understand, create and manage the records of its activities.

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

The records 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 records authority gives the National Health Performance Authority 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 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 record 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 records 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' are to be transferred to the National Archives of Australia for preservation.
  2. This records 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; and
    • General Records Authority (31) - Destruction of source or original records after digitisation, conversion or migration (2015)
  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 records 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 records authority. The National Health Performance Authority 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. The National Health Performance Authority 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 National Health Performance Authority 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 ‘retain as national archives' classes in this records 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 records authority is available from the National Health Performance Authority 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 Diane Watson
Chief Executive Officer, National Health
Performance Authority
Level 9, 1 Oxford Street, Sydney, NSW 2001

Purpose:

Authorises arrangements for the disposal of records in accordance with Section 24(2)(b) of 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 Health Performance Reporting.

Authorised by:

Anne Lyons
Assistant Director-General
National Archives of Australia

1 April 2016

Health Performance Reporting

The core business of providing independent monitoring and reporting on the performance of local health care organisations, including local hospital networks, public and private hospitals, and primary health care organisations and other organisations that provide health care services to the community. The provision of comparable performance information aims to stimulate and inform improvements in the Australian health system, to increase transparency and accountability, and to inform consumers.

The core activities include:

  • developing, implementing and reviewing plans, strategies and frameworks;
  • providing and receiving advice;
  • negotiating, establishing and reviewing agreements, including memoranda of understanding for cooperative monitoring and reporting;
  • developing, implementing and reviewing performance indicators;
  • collecting, managing and analysing health care performance data;
  • developing, implementing and reviewing data definitions and analytical methodologies;
  • developing and publishing health performance reports;
  • undertaking research;
  • developing, implementing and reviewing procedures, tools and guidelines for external stakeholders;
  • liaising and consulting with stakeholders, including health organisations, healthcare professionals, community groups and other agencies;
  • establishing, managing and participating in committees, working groups and meetings; and
  • complying with internal and external data governance protocols.

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

  • developing and reviewing internal policies and procedures;
  • planning, conducting and facilitating audits and reviews;
  • project administration;
  • preparing and presenting speeches;
  • arranging and attending conferences and events; and
  • handling enquiries and data requests.

Cross references to AFDA Express Records Authority:

  • For government enquiries, ministerials, ministerial directives, responding to questions on notice, and senate reporting, use GOVERNMENT RELATIONS.
  • For media releases, use COMMUNITY RELATIONS and/or GOVERNMENT RELATIONS.
  • For the marketing of services and reports, use COMMUNITY RELATIONS.
  • For freedom of information requests, use INFORMATION MANAGEMENT.
  • For the issue, receipt and assessment of tenders, commercial contracts and management of the performance of external service providers, such as commissioned researchers and consultants, use PROCUREMENT.
  • For designing and distributing publications, and updating and maintaining information on the agency's website, use PUBLICATION.

Cross references to other records authorities:

  • For the establishment and management of the agency's governing body, use GOVERNING BODIES.
  • For advisory bodies, including the Jurisdictional Advisory Committee, the Primary Health Care Advisory Committee, the Advisory Committee for Private Hospitals and the Performance Assessment, use ADVISORY BODIES.
Class no Description of records Disposal action
62015

The following significant records documenting:

  • developing, implementing and reviewing high-level plans, strategies and frameworks such as the Three Year Data Plan, Engagement and Consultation Plan, Communications Plan for Public Reporting, Performance and Accountability Framework, Data Governance Framework and Reporting Plan. Includes high-level approvals, major drafts such as stakeholder consultation and approval drafts, results of stakeholder consultation and final versions;
  • developing performance reports. Includes final reports, indicators, background research, associated data, major drafts such as stakeholder consultation and approval drafts, verification and quality assurance checks, high-level approvals, technical supplements and updates, supporting maps and other diagrams;
  • master set of agency publications;
  • health performance datasets created and gathered directly by or for the agency. Includes information specifications concerning the data and data fields, for example data dictionaries, indexes, tables and registers;
  • data dictionaries and analytical methodologies and tools used to manipulate data outputs;
  • developing and reviewing overarching performance standards and indicators;
  • high-level liaison, meetings and consultation with stakeholders;
  • high-level advice that sets precedents, is contentious or controversial, or of significant interest to government, Parliament and the public, such as matters with long-term impacts on the public and health industry, and significant legal or technical advice. Includes final versions, briefs and supporting research;
  • high-level internal or external committees, taskforces and similar working groups where the agency provides the chair, secretariat, or is the Commonwealth's main representative. Includes technical committees;
  • outcomes of major research relating to the core business. Includes final versions of research reports, major drafts and summaries of analysis of supporting data;
  • final versions of high-level agreements and supporting documents to which the agency is signatory, such as intergovernmental agreements, inter-agency memoranda of understanding, agreements with industry and communities, and agreements which establish significant co-operative arrangements. Includes the National Health Information Agreement;
  • high-level reviews relating to the core business, including independent operational and effectiveness reviews directed by the Minister. Includes major drafts, submissions and final reports;
  • proceedings of high level conferences and events hosted by the agency; and
  • final versions of speeches made by the Minister or senior staff at major public or industry events, conferences, workshops, seminars or other forums.
Retain as national archives
62016

Records documenting:

  • general enquiries regarding the agency’s activities such as those concerning its published reports; and
  • routine arrangements such as room bookings and catering for conferences, committees, meetings, and other events.
Destroy 2 years after action completed
62017

Records documenting:

  • routine operational administrative tasks supporting the core business; and
  • health performance reporting activities, other than those covered in classes 62015 and 62016.
Destroy 7 years after action completed
Copyright National Archives of Australia 2017