corporate records management (practitioner) information governance policy team nhs connecting for...
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Corporate Records Management(Practitioner)
Information Governance Policy TeamNHS Connecting for Health
Key Learning Points
Records Management Policy
Records Management Strategy
Records Inventory Survey
Records Management Policy
Applies to all records.
A framework for the development of specific procedures and practices to ensure that records are managed and controlled appropriately.
Model documentation is available in the Records Management Roadmap.
Records Management Policy: Aims
To ensure that records: Are available when needed Are accessible Can be interpreted Can be trusted Can be maintained through time Are secure Are retained and disposed of appropriately To ensure that staff are appropriately trained
on record-keeping
Records Management Strategy
Sets out an overarching framework
Defines the measures for improving the quality, availability and effective use of information
Enables clinicians and managers to use information to improve the delivery of health care services
Records Management Strategy: Aims
Responsibility and accountability Record quality Lifecycle management Security Access Audit Training
Records Management Strategy: Why?
To provide a robust baseline To identify current records management
structure To identify what records are generated and how
they are archived and stored To meet existing and future demands To meet legal and statutory obligations To improve the standard of records
management
Tools to inform the strategy
Records inventory survey Audit of policies & procedures Assessment of environmental conditions Access controls for storage areas Assessment of tracing/tracking systems Comparing records to retention schedules Review retention & destruction procedures Training provision
Making it Happen
The strategy should: Contain a realistic, achievable action plan
Identify the resources required to achieve the plan
Identify potential risks
Establish regular progress reviews
The Planning Cycle
Where are we now? #1(Position Statement)
• Baseline audit• Identify the types and numbers of records and
their location• Describe environmental conditions• Document security & access arrangements to
storage areas• Identify management responsibility
Where are we now? #2(Position Statement)
• Document record retention periods and indicate compliance status;
• List existing policies & procedures including retention, weeding, archiving & destruction.
Where do we want to be? (Goals & Objectives)
Goals and objectives should be SMART Specific Measurable Achievable Realistic Time-bound
Developing the Action Plan(Identifying Goals & Objectives)
• Designated manager?• Retention periods?• Sufficient storage space?• Environmental conditions?• Additional storage?• Archiving solutions?• Disposal & destruction arrangements?
Developing the Action Plan (How Are We Going To Get There?)
Identify tasks related to each of the goals and objectives and: Specify timescales Quantify resources required Determine responsibility for action(s)
Produce a business case to secure additional resources if necessary.
Developing the Action Plan (What Progress Are We Making?)
Determine monitoring criteria & timescales, and specify:- How progress will be monitored When progress will be monitored How progress will be reported
Schedule monitoring meetings aligned with the timescales & milestones in the strategic plan.
Keeping The Strategy Under Review
Annual review
Maintain close links with the IM&T strategy
Maintain close links with the Information Governance Toolkit assessment process
Undertaking a Records Inventory Survey
Organisations collect, store and use a vast amount of information
A crucial component of IG is to know what information is used and how it is stored
A Records Inventory helps manage information and comply with legal & professional obligations
Model Records Inventory Survey Forms
Model Inventory Survey FormsELECTRONIC RECORDS INVENTORY FORM (PATIENT ADMINISTRATION SYSTEM, LOCAL DATABASES ETC)
Directorate Location
Department/Service
Contact Name Tel No
1 Yes If 'Yes', please complete and return the questionnaire
No If 'No', please return the questionnaire
2 Name of the record
3
4 Yes If 'Yes', where?
No
5 Name
Job Title
Tel No.
6
7 Research
Other
Central returns
Do you hold records in the dept?
Patient care /admin
Clinical audit
Why do you collect this information?
Business/Corporate eg Finance, HR etc
Description of the record
Who is responsible for managing the record?
Are duplicates of the record held?
Alternative name of the record (where appropriate)
Practical Steps
A records inventory can appear a huge task
A stepped approach is recommended
Non-HealthRecords
Step 4 Estates, IM&T, Other
Step 3 Administrative records, Purchasing & supplies
Step 2 Human Resources, Finance
Health Records
Step 1 PAS or PAS- fed Clinical Systems
Paper based, scanned, microform records etc.
Standalone clinical systemsDatabases e.g. research
Distributing & Completing the inventory
Centrally coordinate the distribution of Inventory forms
Forms to be completed by department managers
Aggregate the forms either manually or electronically (eg Excel, Access etc)
Regularly review and update the Inventory
Benefits of the Records Inventory
Improves compliance with Records Management: NHS Code of Practice IG toolkit requirements NHS litigation authority’s risk management
standards Standards for better health Professional standards
Informs Board’s Assurance Framework
Further Guidance and useful links
Records Management: NHS Code of Practice
RM NHS CoP Part 1.pdf
RM NHS CoP Part 2.pdf
The Information Governance Toolkit
https://www.igt.connectingforhealth.nhs.uk/ Records Management
Roadmaphttp://www.connectingforhealth.nhs.uk/infogov/records NHS Connecting for Health IG
Policy Team websitewww.connectingforhealth.nhs.uk/infogov
Department of Health website www.dh.gov.uk/en/Home
Corporate Records Management Practitioner Assessment
Answer the questions to follow and if answered correctly you will qualify for a certificate of achievement to add to your portfolio.
Quick Quiz 11. Why do we need a records management strategy?
2. Name three of the tools that will inform the strategy
3. What is the acronym that describes the characteristics of goals and objectives?
4. When you are identifying tasks to meet goals & objectives, what are the three things that you should specify?
5. When should you schedule monitoring meetings?
6. How often should the strategy be reviewed?
Quick Quiz 2
1. A Records Inventory survey should be undertaken for non-health records only: TRUE or FALSE
2. Why is it important to keep the records inventory up to date?
3. Name two standards-based assessments that the records inventory will help with compliance.
Quick Quiz 1: Answers1. Organisations need a records management strategy:
2. Tools to inform the strategy
• To provide a robust baseline• To identify current records management structure• To identify what records are generated and how they are archived and stored• To meet existing and future demands• To meet legal and statutory obligations• To improve the standard of records management
• Records inventory survey• Audit of RM policies & procedures• Assessment of environmental conditions• Access controls for storage areas• Assessment of tracing/tracking systems• Mapping of records to retention schedule• Review retention & destruction procedures• Training provision
Quick Quiz 2: Answers
1. FALSE. Details of all the organisation’s records are to be recorded
2. Keep the records inventory up to date to improve compliance with standards based assessments and to inform the organisation’s Board’s assurance framework
3. Improves compliance with • NHS code of practice for records management• IG toolkit requirements• NHS litigation authority’s risk management standards• Standards for better health• Professional standards
Quick Quiz 2: Answers
3. SMART
4. Tasks to meet goals and objectives should:
5. Schedule monitoring meetings aligned with the timescales & milestones in the strategic plan.
6. Annually
• Specify timescales• Specify resources required• Specify responsibility for action(s)