Records management policy and development of the Records Management: NHS Code of Practice Paul Eveso

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Records management policy and development of the
Records Management NHS Code of
PracticePaul EvesonInformation Quality and
Records Management Policy Manager, NHS CFH
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The new Code of Practice

• Background
• Development process
• Updating the Retention Schedules
• Consultation process
• Final structure

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Life after .
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Why a new Code of Practice?

• HSC 1999/053 needed updating
• In particular, the retention schedules needed a
  radical overhaul to take account of
• new types of records
• new diseases, conditions techniques that
  required extended retention periods for disease
  surveillance research
• new legislation, e.g. FOI Act 2000, EU Directive
  on traceability of whole blood and blood
  components

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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

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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

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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

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The Development Process

• Review of HSC 1999/053
• Review of Good Management, Good Records from
  the Public Records Office of Northern Ireland
  (PRONI) mapping to HSC 1999/053
• Consideration of other guidance, in particular
  the Lord Chancellors Code of Practice on the
  Management of Records under Section 46 of the FOI
  Act 2000
• Consideration of the effects of new legislation,
  new diseases, conditions techniques

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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

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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

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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
• IMT Records
• Personnel/Human Resources Records
• Purchasing Supplies Records
• All other records not covered above

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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

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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 Commissioners Office

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How the Code is organisedIn Part 1

• General context
• Legal and Professional obligations
• Management and Organisational responsibility
• Policy and Strategy
• Record Creation
• Record Keeping
• Record Maintenance
• Appraisal
• Disposal

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How the Code is organisedIn 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

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How the code is organised In Part 2

• Notes to accompany the Retention Schedules
• The Retention Schedules
• List of Approved Places of Deposit and contact
  details

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Sources of help for Records Managers (1)

• NHS Code of Practice for Records Management
• www.dh.gov.uk/PolicyandGuidance/OrganisationPolic
  y/RecordsManagement
• Setting and Achieving the NHS Standard for
  Records Management A Roadmap
  web-based containing a range of practical tools
  and guidance

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Sources of help for Records Managers (2)

• Information Governance Toolkit
• Dept of Health Records Management mailbox
  recordsmanagement_at_dh.gsi.gov.uk
• The National Archives Records Management Advisory
  Service
• http//www.nationalarchives.gov.uk/archives/advis
  ory.htm

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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