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Corporate Records Management (Practitioner). Information Governance Policy Team NHS Connecting for Health. Key Learning Points. Records Management Policy Records Management Strategy Records Management Document Audit Records Inventory Survey

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Presentation Transcript
corporate records management practitioner

Corporate Records Management(Practitioner)

Information Governance Policy Team

NHS Connecting for Health

key learning points
Key Learning Points
  • Records Management Policy
  • Records Management Strategy
  • Records Management Document Audit
  • Records Inventory Survey
  • Raising Records Management profile and awareness
records management policy
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
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

records management strategy
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
Records Management Strategy: Aims
  • Responsibility and accountability
  • Record quality
  • Management
  • Security
  • Access
  • Audit
  • Training
records management strategy why
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
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
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
where are we now position statement
Where are we now? (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 position statement12
Where are we now? (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
Where do we want to be? (Goals & Objectives)

Goals andobjectives should be SMART

  • Specific
  • Measurable
  • Achievable
  • Realistic
  • Time-bound
developing the action plan identifying goals objectives
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
Developing the Action Plan (How Are We Going To Get There?)
  • Identify tasks related to each of the goals and objectives and:
    • Specifytimescales
    • Quantifyresources 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
Developing the Action Plan(What Progress AreWe 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
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
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 & statutory obligations
model records inventory survey forms
Model Records Inventory Survey Forms

Model Inventory Survey Forms

practical steps
Practical Steps

A records inventory can appear a huge task

A stepped approach is recommended

distributing completing the inventory
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 a records inventory
Benefits of a 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

raising awareness of records management why
Raising awareness of Records Management – Why?
  • To ensure that everyone knows who has the lead role for records management in the organisation
  • To ensure that all members of staff understand their personal responsibilities in respect of records management
  • To ensure that issues and progress on records management are routinely fed back to the board