Corporate Records Management (Practitioner)

1. Corporate Records Management(Practitioner) Information Governance Policy Team NHS Connecting for Health

2. Key Learning Points • Records Management Policy • Records Management Strategy • Records Inventory Survey

3. 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.

4. 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

5. 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

6. Records Management Strategy: Aims • Responsibility and accountability • Record quality • Lifecycle management • Security • Access • Audit • Training

7. 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

8. 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

9. 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

10. The Planning Cycle

11. 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

12. Where are we now? #2(Position Statement) • Document record retention periods and indicate compliance status; • List existing policies & procedures including retention, weeding, archiving & destruction.

13. Where do we want to be? (Goals & Objectives) Goals andobjectives should be SMART • Specific • Measurable • Achievable • Realistic • Time-bound

14. Developing the Action Plan(Identifying Goals & Objectives) • Designated manager? • Retention periods? • Sufficient storage space? • Environmental conditions? • Additional storage? • Archiving solutions? • Disposal & destruction arrangements?

15. 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.

16. 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.

17. 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

18. 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

19. Model Records Inventory Survey Forms Model Inventory Survey Forms

20. Practical Steps A records inventory can appear a huge task A stepped approach is recommended

21. 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

22. 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

23. Further Guidance and useful links

24. 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.

25. Click here for Evaluation Form Module Evaluation CFHIGTrainingTool@nhs.net

26. Quick Quiz 1 Why do we need a records management strategy? Name three of the tools that will inform the strategy What is the acronym that describes the characteristics of goals and objectives? When you are identifying tasks to meet goals & objectives, what are the three things that you should specify? When should you schedule monitoring meetings? How often should the strategy be reviewed?

27. Quick Quiz 2 A Records Inventory survey should be undertaken for non-health records only: TRUE or FALSE Why is it important to keep the records inventory up to date? Name two standards-based assessments that the records inventory will help with compliance.

28. Quick Quiz 1: Answers • Organisations need a records management strategy: • 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

29. Quick Quiz 2: Answers • FALSE. Details of all the organisation’s records are to be recorded • Keep the records inventory up to date to improve compliance with standards based assessments and to inform the organisation’s Board’s assurance framework • 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

30. 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 • Specifytimescales • Specify resources required • Specify responsibility for action(s)