Development of the NHS Code of Practice for Records Management

1. Development of the NHS Code of Practice for Records Management

2. The new Code of Practice • Background • Development process • Updating the Retention Schedules • Consultation process • Final structure

3. The NHS (in England) includes: • 10 Strategic Health Authorities • 303 Primary Care Trusts • 173 Acute and Foundation Trusts • 75 Mental Health Trusts • 12 Ambulance Trusts

4. Life after ….

5. Why a new Code of Practice? (1) • HSC 1999/053 was published in 1999 and needed updating • In particular, the retention schedules needed a radical overhaul to take account of: • new types of records • new disease, conditions & techniques that required extended retention periods for disease surveillance & research e.g. CJD, transplantation, assisted fertility

6. Why a new Code of Practice? (2) • There is new legislation affecting record management and retention e.g. FOI Act 2000, EU Directive 2002/98/EC • There is a need to pro-actively manage ALL NHS Records, not just Health Records

7. Main features of the FOI Act 2000: • A general right of access to recorded information held by a wide range of bodies across the public sector, subject to certain conditions and exemptions • A duty on every public authority to adopt and maintain a scheme which relates to the publication of information by the authority and is approved by the Information Commissioner

8. Aims of the Code of Practice (1) • To establish an information governance framework for records management in relation to the creation, use, storage, management and disposal of records • To clarify the legal obligations that apply to NHS records • To explain the actions required by Chief Executives and other managers to fulfil these obligations

9. Aims of the Code of Practice (2) • To explain the requirement to select records for permanent preservation • To set out minimum periods for retention of all types of NHS records, regardless of the media on which they are held • To indicate where further information and sources of advice on records management may be found

10. The Development Process (1) • Review of HSC 1999/053 to determine which components were still relevant and which needed updating or revising • Consideration of other guidance, in particular the Lord Chancellor’s Code of Practice on the Management of Records under Section 46 of the FOI Act 2000

11. The Development Process (2) • Consideration of the effects of new legislation, new diseases, conditions & techniques • Review of “Good Management, Good Records” from the Public Records Office of Northern Ireland (PRONI) & mapping to HSC 1999/053

12. Scope of Health Records in the Code of Practice (1) • Patient health records (Electronic or paper based; including those concerning all specialties, but including GP medical records) • Records of private patients seen on NHS premises • Accident & Emergency and Birth Registers • Theatre Registers & Minor Operations (and other related) Registers

13. Scope of Health Records in the Code of Practice (2) • X-ray and imaging reports, output and images • Photographs, slides, and other images • Microform (i.e. fiche / film) • Audio and video tapes, cassettes, CD-ROM, etc • E-mails • Computerised records

14. Scope of Non-Health Records in the Code of Practice • Administrative and NHS Organisation Records e.g. minutes • Estates & Engineering Records • Financial and Accounting Records • IM&T Records • Personnel/Human Resources Records • Purchasing & Supplies Records • All other records not covered above

15. The Consultation Process • Internal consultation within DH • Informal consultation with representatives of the other home countries (Wales, Northern Ireland & Scotland) • Formal 12 week consultation with all stakeholders July – September 2005

16. Stakeholders included: • Royal Colleges • Nursing & Midwifery Council • Medical Research Council • Allied Health Professionals Council • The National Archives • Health Archives Group • Professional bodies, including IHRIM • Healthcare Financial Management Association • NHS Estates • Institute of Personnel Management • Information Commissioner’s Office

17. What have we ended up with:In Part 1 … • General context • Legal and Professional obligations • Management and Organisational responsibility • Policy and Strategy • Record Creation • Record Keeping • Record Maintenance • Appraisal • Disposal

18. What have we ended up with: In Part 1 …. continued • Glossary of Records Management Terms • Annex A – Resources to Support Improvement • Annex B – NHS Connecting for Health • Annex C – Legal and Professional Obligations

19. What have we ended up with: In Part 2 • Notes to accompany the Retention Schedules • The Retention Schedules • List of Approved Places of Deposit and contact details

20. Sources of help for Records Managers (1) • NHS Code of Practice for Records Management www.dh.gov.uk/PolicyandGuidance/OrganisationPolicy/RecordsManagement • Setting and Achieving the NHS Standard for Records Management – A Roadmap; web-based containing a range of practical tools and guidance

21. Sources of help for Records Managers (2) • Information Governance Toolkit • Dept of Health Records Management mailbox recordsmanagement@dh.gsi.gov.uk • The National Archives Records Management Advisory Service http://www.nationalarchives.gov.uk/recordsmanagement/advisory.htm

22. In Summary • New Code of Practice for NHS records management based on best practice guidance • Up-to-date retention schedules for both health and non-health records; in user-friendly format