Records Management Code of Practice for Health and

Records Management Code of Practice for Health and Social Care 2016 Sarah Graham, NHS England, 28 th April 2017 www. england. nhs. uk

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! www. england. nhs. uk

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 www. england. nhs. uk

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 (Ao. MRC) • Training / Policy required www. england. nhs. uk

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 v 3. 1 2006 • Cabinet Office Government Security Classifications April 2014 • Storage, maintenance, retention and disposal www. england. nhs. uk

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 www. england. nhs. uk

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 www. england. nhs. uk

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. www. england. nhs. uk

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! www. england. nhs. uk

Appendix Two: Standards • Pg 52 • Another useful list that is worth having a look at whether new or experienced RM practitioner www. england. nhs. uk

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) www. england. nhs. uk

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 www. england. nhs. uk

Questions / Discussion For more information, please contact: Sarah Graham, Corporate Records Manager, NHS England: sarah. graham 7@nhs. net www. england. nhs. uk