Records Management Code of Practice for Health and Social Care 2016 Sarah Graham, NHS England, 28 th April 2017
Introduction Main focus of the presentation - key messages within the Information Governance Alliance Code of Practice Brief case study - how NHS England applied the Code of Practice Questions / discussion.but happy to take queries during the presentation!
Background The Code of Practice replaces the Records Management: NHS Code of Practice parts 1 and 2 (2006) that had previously been produced by the Department of Health This Department of Health guidance was very good and detailed but was due for a refresh The new guidance has more focus on electronic records and has a reduced retention schedule User friendly and has practical case studies Main section, three appendices final third appendix concentrates on retention schedule pgs 53-80
Section 1: Regulatory Framework Pgs 6 11 NHS records patient records, corporate records The framework is based on established standards Concerns records regardless of format The Public Records Act 1958 all of us in this room are affected by this act! DPA / FOI The Academy of Medical Royal Colleges (AoMRC) Training / Policy required
Section 2: How to Manage Records Pgs 12 25 Bread and butter of what the people in this room do! Lifecycle, records system ISO 15489 & DIRKS, Cabinet Office e-government Metadata Standard v3.1 2006 Cabinet Office Government Security Classifications April 2014 Storage, maintenance, retention and disposal
Section 3: How to deal with specific types of records Pgs 26 40 Specific to Health and Social Care records Section on Lloyd George papers is causing some issues within GP practices The Good Practice Guidelines for GP electronic patient records Version 4 (2011) Contract closure guidance Prison Health Care / Youth Offenders Institutions Complaint records Useful information Pg 28 on corporate records Emails guidance / scanning guidance
Section 4: Retention Schedule Pgs 41 48 Retentions are minimums therefore, if there is a proven business need, then records could be kept for longer than the recommended minimum Access via DPA and Access to Health Records Act Pages 45 49 contains a useful list of records which may be held in health and social care settings Organisations could use the list to ensure that all these records are covered in their retention schedule
Useful Websites and Links Pgs 49-50 Useful resources list that could be used in developing a new member of RM staff as well as a useful glossary for seasoned professionals.
Appendix One: Acknowledgements Pg 51 Many RM professionals involved in the development of this piece of guidance Some members of the reference group may be in this very room!
Appendix Two: Standards Pg 52 Another useful list that is worth having a look at whether new or experienced RM practitioner
Appendix 3: Retention Schedule Pgs 53 80 Schedule is significantly stripped down from the previous code of practice which dated back to 2009 Pg 79 Complaints retention is set at 10 years (was previously 8 years) Pg 79 FOI requests retention where there has been an appeal is set at 6 years (was previously 10 years)
NHS England Implementation Our key move was to align our Records Retention and Disposal Schedule to reflect the guidance Version 2.0 published in January 2017 Some key areas had changed in terms of retention (e.g. complaints) Corporate Records Manager visited the team to ensure that paper / electronic systems were adjusted accordingly to reflect the July 2016 change in guidance. Reflect guidance within the Records Management Policy new Version 4.0 of the Policy just being ratified at the moment
Questions / Discussion For more information, please contact: Sarah Graham, Corporate Records Manager, NHS England: sarah.graham7@nhs.net