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5.0.0 CORPORATE MANAGEMENT (GDA21)

The function of managing the organisation as a whole, including management of the governing body of the organisation.

This includes activities associated with the development of the organisation's mission, objectives and policy, establishment of organisational structures, strategic and business planning to determine methods of operation and priorities for service delivery, performance monitoring of the management and operations of the organisation and management of the Board (including former hospital and Area Health Service boards) or equivalent governing body of the organisation.

See also General Retention and Disposal Authority - Administrative records: STRATEGIC MANAGEMENT.

5.1.0 Agreements

Processes associated with the establishment, maintenance, review and negotiation of agreements.

No Description of records Disposal action
5.1.1 Records relating to agreements, memorandum of understanding etc with the NSW Department of Health, Area Health Services or other organisations having implications for major liabilities, obligations or governance of the organisation as a whole. Required as State archives

5.2.0 Board management

Activities associated with the management of Boards or equivalent governing body of an organisation.

See Committees for records relating to Committees or Sub Committees established by the Board.

No Description of records Disposal action
5.2.1 Records relating to appointments. This includes records relating to terms and conditions of appointments and disclosures of pecuniary interests of Board members. Required as State archives
5.2.2 Master set of minutes, agendas, resolutions, reports and associated background and working papers etc of the Board. Required as State archives
5.2.3 Duplicates or copies of minutes, agendas etc circulated or maintained for reference or information purposes. Retain until no longer required for administrative or reference purposes, then destroy
5.2.4 Records relating to nominations for appointments to the Board. Retain minimum of 6 months after appointments are finalised, then destroy
5.2.5 Records relating to arrangements for the payment of remuneration and allowances (including travel and subsistence allowances) to Board members. Retain minimum of 6 years after last action, then destroy

5.3.0 Committees [8]

The activities associated with the management of committees, councils, task forces, working groups etc (internal, external, private, local, state, Commonwealth etc). Includes the committee's establishment, terms of reference and appointment of members, proceedings, minutes, reports, agendas etc.

No Description of records Disposal action
5.3.1 Advisory committees/councils. Records relating to the establishment and meetings of committees, councils etc established to facilitate consultation and input from stakeholder groups or for the purposes of providing oversight and/or advice to the organisation with regard to the conduct of its operations and services. This includes advisory or consultative committees such as Health Councils, Area Health Advisory Councils, Community Advisory Committees, Education Advisory Committees, Death Review Committees, Qualified Privilege Committees etc. This includes records relating to the appointment of Committee members and master sets of minutes, agendas, resolutions, reports and associated background and working papers etc of the committee. Required as State archives
5.3.2 Board committees. Records relating to charters for committees and sub-committees of the Board and master sets of minutes, agendas, resolutions, reports and associated background and working papers etc of committee or sub-committee meetings. Required as State archives
5.3.3 Records relating to the establishment and meetings of ethics/research committees such as Human Research Ethics Committees, Ethics Policy Committees, Animal Experimentation Ethics Committees, Bioethics Committees etc. Includes records relating to terms of reference, appointments to, terms and conditions of membership, policies and working procedures, and master sets of minutes, agendas, resolutions, reports, research protocol decisions, terms and conditions of approvals and associated background and working papers etc of the committee. Required as State archives
5.3.4 Practitioner committees. Records relating to the establishment and meetings of practitioner committees such as Medical Appointments, Clinical Privileges and Credentials Committees or Councils, Nurse Practitioner Committees etc. This includes records relating to terms of reference, appointments to and master sets of minutes, agendas, resolutions, reports and associated background and working papers of the committee Privileges and Credentials Committees or Councils, Nurse Practitioner Committees etc. Required as State archives
5.3.5 Records relating to agendas, minutes, background and working papers, reports of other peak or significant committees established to determine organisational policy or for strategic planning or management purposes. Required as State archives
5.3.6 Records relating to agendas, minutes, background and working papers, reports etc of joint boards, external or inter-agency committees where the organisation provides the secretariat.

See also 5.3.1 (Advisory Committees) above for records of Committees involving external stakeholders established for consultation or advisory purposes.
Required as State archives
5.3.7 Records relating to agendas, minutes, background and working papers, reports of external or inter-agency committees where the organisation does not provide the secretariat. Retain until no longer required for reference purposes, then destroy
5.3.8 Records relating to agendas, minutes, background and working papers, reports of other committees established for operational purpose. Retain minimum of 5 years after last action, then destroy
5.3.9 Routine administrative records relating to arrangements such as meeting dates, times, venues, travel, catering etc. Retain minimum of 1 year after last action, then destroy

5.4.0 Counter disaster planning

Activities associated with planning for and management of emergency services co-ordination in the event of a disaster such as flood, fire, accident or environmental damage in accordance with NSW Health State disaster planning. This includes planning for matters such as:

  • public health
  • medical response
  • mental health
  • liaison with other agencies, including local government, Federal and interstate agencies
  • protocols and standard operating procedures.
No Description of records Disposal action
5.4.1 Plans, policies and protocols for counter disaster or emergency response operations. Retain minimum of 10 years after superseded, then destroy
5.4.2 Records relating to the development and administration of the State Disaster Plan. This includes records of exercises and testing, operational debriefs, assignment of responsible officers etc. Retain minimum of 5 years after action, then destroy

5.5.0 Legislation

See also General Retention and Disposal Authority - Administrative records: STRATEGIC MANAGEMENT.

No Description of records Disposal action
5.5.1 Master set of by-laws made by the organisation. Required as State archives
5.5.2 Records relating to the development of by-laws. Retain minimum of 10 years after action completed, then destroy

5.6.0 Performance management

Activities associated with the evaluation of corporate performance to ensure the organisation's goals and objectives are achieved.

See General Retention and Disposal Authority - Administrative records: PERSONNEL for records relating to individual performance management agreements and assessments etc.

No Description of records Disposal action
5.6.1 Records relating to evaluations, reviews or appraisals of management performance. Retain minimum of 10 years after last action, then destroy
5.6.2 Records relating to the evaluation of performance and delivery of health outcomes for individual units or comparison of services. Retain minimum of 10 years after last action, then destroy

5.7.0 Planning

The process of formulating ways in which objectives can be achieved. Includes determination of services, needs and solutions to meet those needs.

No Description of records Disposal action
5.7.1 Records relating to the development of corporate, business and strategic or targeted health service plans for the whole organisation, area or state wide services. This includes records relating to the development of the corporate mission and vision of the organisation and master copies of final approved plans. Required as State archives
5.7.2 Records relating to the development and implementation of operational, business or action plans of individual departments, programs, units, facilities or services. This includes records of planning meetings etc. Retain minimum of 5 years after plan is superseded, then destroy

5.8.0 Policy

The activities associated with developing and establishing decisions, directions and precedents which act as a reference for future decision making and/or as the basis from which the organisation's operating procedures are determined.

See CLINICAL SERVICES - Policy and procedures for locally developed policies, procedures, protocols etc relating to clinical practices.

See also General Retention and Disposal Authority - Administrative records: STRATEGIC MANAGEMENT.

No Description of records Disposal action
5.8.1 Records relating to the implementation of NSW Department of Health policy initiatives, directives or guidelines concerning health care services or patient/client health care matters. This includes policies developed locally in accordance with NSW Department of Health directives, master copies of directives relating to the communication and promulgation of the policy throughout an organisation. Retain minimum of 10 years after superseded, then destroy
5.8.2 Records relating to the formulation and implementation of the organisation's own operational policies. Includes records of policy proposals, background research, consultation drafts, final versions of policy documents and masters of directives and memorandum. This includes policies dealing with operational or administrative matters eg privacy, travel, use of equipment, vehicles etc. Retain minimum of 10 years after superseded, then destroy
5.8.3 Records relating to the development of standards or codes of conduct relating to ethical behaviour, professional practices etc. [9] Retain minimum of 5 years after revised or superseded, then destroy

5.9.0 Procedures

Standard methods of operating laid down by an organisation according to formulated policy.

See CLINICAL SERVICES - Policy and procedures for locally developed policies, procedures, protocols etc relating to clinical practices.

No Description of records Disposal action
5.9.1 Master copies and associated records relating to the development and implementation of procedures, guidelines, manuals etc concerning the management or provision of health care services. This includes procedures etc developed locally or implemented in accordance with Department of Health directives. [10] Retain minimum of 10 years after superseded, then destroy
5.9.2 Procedures, guidelines or manuals etc and related records concerning general operational or routine administrative matters eg travel, use of vehicles, equipment, facilities etc Retain until superseded and no longer required for ongoing reference purposes, then destroy

5.10.0 Reporting

The provision of a formal response to a situation or request or as a requirement concerning aspects of the organisation's responsibilities, performance or activities.

See GOVERNMENT RELATIONS for records relating to the reporting of incidents or sentinel events.

No Description of records Disposal action
5.10.1 Master copies of published reports. Required as State archives
5.10.2 Internal reports to executive management or to external organisations such as the Minister, NSW Department of Health etc regarding the operations of the organisation and/or health status of the population served by the organisation. This includes reports concerning proposed initiatives or reforms of services, organisational structures or planning processes. Required as State archives
5.10.3 Records relating to the preparation and submission of internal business and action reports eg monthly or quarterly reports on activities and progress. Retain minimum of 5 years after last action, then destroy
5.10.4 Records of standard returns and statistical information supplied either internally or to external bodies. Retain minimum of 2 years after action completed, then destroy

5.11.0 Risk management

The processes involved in the identification of risks, the likelihood and consequences of those risks and the implementation of appropriate practices and procedures to reduce the impact of loss arising from the risk.

See Counter disaster planning for records relating to State emergency service planning.

See CLINICAL SERVICES for records relating to the monitoring of incidents involving patients.

See GOVERNMENT RELATIONS for records relating to the reporting of incidents or matters to external agencies.

See EDUCATION, TRAINING AND STAFF DEVELOPMENT for the training of staff in measures to prevent the spread of disease or infections.

See General Retention and Disposal Authority - Administrative records: OCCUPATIONAL HEALTH & SAFETY for records relating to the vaccination and health screening of staff.

No Description of records Disposal action
5.11.1 Records relating to the development of risk, hazard or disaster management plans for the organisation, individual facilities or units or for specific events. This includes risk management or disaster recovery plans relating to such matters as security, fire safety, infection control, radiation safety, waste management etc. Retain minimum of 7 years after plan superseded, then destroy
5.11.2 Records relating to the implementation of risk, hazard or disaster management plans, programs or processes. This includes records relating to the testing of plans and the monitoring and surveillance of risk occurrences (such as outbreaks of nosocomial infections within a facility) and associated reports. Retain minimum of 7 years after last action, then destroy

Footnotes

[8] Duplicate copies of Committee minutes, agendas etc circulated or maintained for reference or information purposes only may be disposed of in accordance with normal administrative practice when no longer required and reference has ceased (see Guideline on Normal Administrative Practice Part 4 Duplicates of records). Services or units should ensure that responsibility for maintenance of a master set of Committee papers (ie meeting agendas, minutes, background papers and reports etc) is established prior to the destruction of duplicate sets or copies of records.
[9] Codes of conduct signed by individuals should be attached to the relevant personal file and maintained for the minimum retention period specified in the General Retention and Disposal Authority - Administrative records - PERSONNEL - Employee service history.
[10] In instances of incidents or adverse patient outcomes, evidence of policies and procedures in place at the time can be of significance in legal action arising out of the incident.