Recrds Management Plicy Main Authr: Cnsultatin Rute: Apprved By: Date f Issue: Applicable: Organisatinal wide Versin: 1.0 Review Date: February 2011 Versin 1.0: February 2010
Change Cntrl Versin Change Date 1.0 Recrds Management Plicy Versin 1.0; February 2010
Cntents Sectin Page Scpe 1 Statement 1 Aims 2 Registratin 4 Accuntability 4 Mnitring Cmpliance 5 References 5
1. Scpe This plicy prvides fr: The requirements that must be met fr the recrds f the Public Health Agency (PHA) t be cnsidered as a prper recrd f the activity f the PHA The requirements fr systems and prcesses that deal with recrds; The quality and reliability which must be maintained t prvide a valuable infrmatin and knwledge resurce fr the Public Health Agency; Review f the plicy and checking the quality f implementatin; An verall statement f recrds management plicy which is supplemented by detailed prcedures. It cvers recrds in all frmats, created in the curse f Public Health Agency s business, including nncnventinal recrds. 2. Statement Infrmatin is a crprate asset and the recrds f the Public Health Agency are imprtant surces f infrmatin such as patient/client, administrative, financial, legal, evidential and histrical infrmatin. They are vital t the PHA in its current and future wrk, fr the purpses f accuntability, and fr an awareness and understanding f its histry. They are the crprate memry f the PHA. In cnsultatin with rganisatins that may be cncerned with the management f its recrds, the PHA will create, use, manage and destry r preserve its recrds in accrdance with all statutry requirements. Systematic recrds management is fundamental t the PHA s efficiency. It ensures that the crrect infrmatin is: Recrds Management Plicy Versin 1.0; February 2010 1
captured, stred, retrieved and destryed r preserved accrding t need; fully utilised t meet current and future needs, and t supprt change; accessible t thse wh need t make use f it; and that the apprpriate technical, rganisatinal and human resurce elements exist t make this pssible. 3. The recrds management system aims t ensure that the recrd is present; The Public Health Agency has the infrmatin that is needed t frm a recnstructin f activities r transactins that have taken place. the recrd can be accessed; It is pssible t lcate and access the infrmatin and display it in a way cnsistent with initial use. the recrd can be interpreted; It is pssible t establish the cntext f the recrd: wh created the dcument, during which business prcess, and hw the recrd is related t ther recrds. the recrd can be trusted; The recrd reliably represents the infrmatin that was actually used in r created by the business prcess, and its integrity and authenticity can be demnstrated. the recrd can be maintained thrugh time; The qualities f accessibility, interpretatin and trustwrthiness can be maintained fr as lng as the recrd is needed, perhaps permanently, despite changes f frmats. All staff f the Public Health Agency wh create, use, manage r dispse f recrds have a duty t prtect them and t ensure that any infrmatin that they add t the recrd is necessary, accurate and cmplete. The cnfidentiality f patient and client as well as staff Recrds Management Plicy Versin 1.0 February 2010 2
recrds must always be f primary cncern t PHA staff. All staff invlved in managing recrds will receive the necessary training and frmally acknwledge their duty f care with regard t PHA recrds. The Recrds Management Plicy is a specific part f the Agency s verall crprate prgramme and relates t ther plicies, guidance and legislatin, including: Fllwing best practice Recrds shuld be managed in accrdance with the Department f Health, Scial Services and Public Safety fr Nrthern Ireland publicatin Gd Management, Gd Recrds which prvides a guide t best practice in recrds management. The HPSS Infrmatin and Cmmunicatins Technlgy Strategy The Public Health Agency will adhere t develpments identified within the reginal ICT Strategy that may relate t Recrds Management. Data Prtectin Recrds need t be managed in accrdance with the terms f the Data Prtectin Act 1998. Freedm f Infrmatin Recrds need t be managed in accrdance with the Freedm f Infrmatin Act 2000 and its related Cdes f Practice. Audit plicy Recrds have t meet audit requirements. Recrds Management Cntrls Assurance Standard Prgress in Recrds Management will have t be sufficient t meet the criteria detailed in these standards. Recrds Management Plicy Versin 1.0 February 2010 3
4. Recrds Registratin Recrds registratin ensures a link between the recrd and its administrative rts. The registratin f recrds will fllw best practice in recrds management and allw fr the users f the recrds t identify and track particular recrds and recrd cllectins. The registratin system includes: Classifying f the recrds int series that have meaningful titles and a cnsistent reference cde. Setting a respnsibility n individuals creating recrds t allcate them t an apprpriate wrk area. Having sequences f reference numbers that can facilitate paper and electrnic (where apprpriate) recrds, and eventually align with a Public Health Agency File Classificatin Prcess. Checking that the crrect recrds have been allcated t the sequence and that meaningful titles are used. Auditing lists f the references used s that the registratin system makes sense and recrds can be fund in apprpriate search sequences. 5. Accuntability The Chief Executive and Senir Managers have a duty t ensure that the Public Health Agency cmplies with the requirements f legislatin affecting management f the recrds and with supprting regulatins and cdes. The Assistant Directr f Planning & Crprate Services and the Infrmatin Gvernance Manager will wrk clsely with all Directrates in the Agency t ensure that there is cnsistency in the management f recrds and that advice and guidance n gd recrds management practice is prvided thrughut the rganisatin. Staff within individual Directrates are respnsible fr ensuring that recrds and infrmatin systems in their Recrds Management Plicy Versin 1.0 February 2010 4
business areas cnfrm t this plicy and t the requirements f legislatin. All PHA staff are respnsible fr dcumenting their actins and decisins in the recrds and fr maintaining the recrds in accrdance with gd recrds management practice and prfessinal guidelines. 6. Mnitring Cmpliance The Public Health Agency will fllw this recrds management plicy within all relevant prcedures and guidance used fr peratinal activities. Interpretatin f the plicy will be mnitred via the Cntrl Assurance Standards (CAS) framewrk and as a result there will be inspectins by Internal Audit t assess hw the standards are being met. These inspectins will seek t: identify areas f gd practice which can be used thrughut the Public Health Agency; highlight where nn-cnfrmance t the prcedures is ccurring; and if apprpriate, recmmend a tightening f cntrls and make recmmendatins as t hw cmpliance can be achieved. 7. References Public Recrds Act (NI) 1923 Dispsal f Dcuments Order N 167, 1925 Limitatin Act 1980 Freedm f Infrmatin Act 2000 Internatinal Standard n Recrds Management (ISO 15489) Electrnic Recrds Management: Tlkits (PRO, 2000-2002) Recrds Management Plicy Versin 1.0 February 2010 5
Data Prtectin Act 1998: A Guide fr Recrds Managers and Archivists (PRO, PRONI, NAS, in assciatin with ODPC, 2000) Recrds Management Standards and Guidance (PRO, frm 1998) Nrthern Ireland Recrds Management Standards (NIRMS) (2002) (Public Recrds Office f Nrthern Ireland) The Lrd Chancellr s Cde f Practice n the Management f Recrds under Sectin 46 f the Freedm f Infrmatin Gd Management, Gd Recrds http://www.dhsspsni.gv.uk/publicatins/2004/dhs_g dmanagement.pdf Nte: This list is neither cnclusive nr definitive but is simply a guide fr thse wrking in, r respnsible fr, Recrds Management within the Public Health Agency Recrds Management Plicy Versin 1.0 February 2010 6