Presentation on theme: "Corporate Records Management (Practitioner) Information Governance Policy Team NHS Connecting for Health."— Presentation transcript:
Corporate Records Management (Practitioner) Information Governance Policy Team NHS 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 1. Where are we now? (Position Statement) 2. Where do we want to be? (Goals & Objectives) 3. How are we going to get there? (Action Points ) What progress are we making? (Monitoring Criteria)
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 (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 Forms
Practical Steps A records inventory can appear a huge task A stepped approach is recommended Non- Health Records Step 4Estates, IM&T, Other Step 3Administrative records, Purchasing & supplies Step 2Human Resources, Finance Health Records Step 1PAS or PAS- fed Clinical Systems Paper based, scanned, microform records etc. Standalone clinical systems Databases 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.connectingforh ealth.nhs.uk/ Records Management Roadmap http://www.connectingforhealt h.nhs.uk/infogov/records NHS Connecting for Health IG Policy Team website www.connectingforhealth.nhs. uk/infogov Department of Health websitewww.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.
Module Evaluation CFHIGTrainingTool@nhs.net Click here for Evaluation Form
Quick Quiz 1 1.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: Answers 1.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)