Records Management Code of Practice - a discussion with the project team Information Governance Alliance 25 March 2016 Chair Suzanne Lea, IGA

Agenda 1.How to take part in this webinar 2.Information Governance Alliance – what we are and the purpose of this session 3.Records Management – a discussion with the project team who are working on a new Code of Practice 4.Questions 5.Future webinars

We are a group of national health and care organisations working together to provide a joined up and consistent approach to information governance. We aim to become the single, authoritative source of advice and guidance on IG across health and social care

Leadership, professionalism and culture Information sharing and integration Building and sustaining public trust Being the authoritative source of good practice IGA working together to share information, knowledge and expertise IGA focus for 2015 Focus 2016 / 17

IGA Guidance pipeline

Records Management – a discussion with the project team who are working on a new Code of Practice Tim Dalby, IGA Richard Birmingham, HSCIC

Refresh of the Records Management Code of Practice for Health and Social Care 2016 How we did it Tim Dalby Senior Project Manager

The how Commission from Department of Health Initial consultation via HSCIC ended 2014 Project started February 2015 Project Group made up of volunteers from IGA member organisations and health and care organisations Met monthly from March 2015 Standard project management methodology

How continued… Two Expert Reference Groups Public Consultation Oct – Dec 2015 Now: Project Group meet early June 2016 IGA will publish on IGA website Summer 2016 with associated communications Review at least every 2 years led by IGA Respond to changes as they occur

Thank you

Refresh of the Records Management Code of Practice for Health and Social Care 2016 The Content Richard Birmingham HSCIC External IG Team Manager

How has the landscape changed? Massive investment in digital patient records Focus on integration and sharing of data Increasing issues about legacy systems More competition and fragmented records Organisational change High profile public enquiries

What retention method should we use? Still waiting for an official method of managing records to replace DIRKS in ISO refresh No substitute for a structure Other methods are not as good at the lifecycle approach Can’t keep everything and bolt on a search tool

With a Health and Social Care Focus Professional bodies record keeping standards Sectors are regulated by CQC with oversight from ICO and others Integrated care records challenge Department of Health has no remit for children's social care Local Government already have established practices

The new Retention Schedule Gone for ‘bucketing’ periods of retention We recognise: No personal data can be used for a secondary purpose without a lawful basis Duty of confidence different to DPA basis for lawful processing Health does not hold the primary records for some processes – e.g. adoption Liability on NHS for work done

Adoption record (primary record held by Children's Social Services) Police reports Social worker reports Adoption agency School reports Judicial Paperwork Child Health adoption medical Example of a Primary Record

That looks interesting… No patient records can be kept simply because they may be of interest later There must be a lawful basis for retention Duty of confidence must be respected S33 DPA does allow for long term retention but must be consent based

Health record Audit trailMessaging Referrals in and out X-rays and imagery Care PlansMedications Big Bucket

Retention Based on Limitation Periods Medical Specialty Type of Provider Acute Trust Accident and Emergency Adult +8 Years Child 25 th birthday or +8 Years Mental Health + 30 years MusculoskeletalAdult +8 Years Child 25 th birthday or +8 Years Mental Health + 30 years Paediatrics Child 25 th birthday or +8 Years Child with mental health +30 Years Retention by Hierarchy

Retention Based on Limitation Periods Medical Specialty Type of Provider Acute Trust Accident and Emergency Adult +8 Years Child 25 th birthday or +8 Years Mental Health + 30 years MusculoskeletalAdult +8 Years Child 25 th birthday or +8 Years Mental Health + 30 years Paediatrics Child 25 th birthday or +8 Years Child with mental health +30 Years Retention based on the individual

And that leaves… Adult +8 years Child 25 th birthday or +8 years Mental Health/Long term illness +30 years Whole life record for GP record (Life +10)

The public record Set list of records for starters Other records based on appraisal Local interest to a POD Includes open and closed board sessions

Lord Chancellor’s Instrument Health records Staff records May be kept for longer than 20 years where there is an operational need Does not exempt records from the Data Protection Act

Issues for the future Long term continuity of the digital record Greater patient control over their records Focus on cyber and security rather than record keeping Greater levels of regulation Formal assessment linked to CQC

Thank You Health and Social Care Information Centre NHS Digital from Summer 2016.

Webinars in May and June 2016 DateTitle 25 MayRecords Management Code of Practice 7 JuneNew IGA Guidance on video conferencing 22 JuneShowcasing an example of good practice We are seeking suggestions for future webinars