Information Governance Records Management Guidance Note Number 004: Compiling A Records Inventory

Compiling a Records Inventory

In this document the term records inventory has been used to describe a catalogue which holds details of all the records systems/collections, both health and administrative, which are in existence within the NHS Board, regardless of the format or media of those records.

When established the records inventory will keep track of all records which are held within the Board, so that they can be located and managed effectively in order to provide safe and effective healthcare and to meet legal and statutory obligations in respect of Data Protection, Freedom of Information and other legislation.

Many of the difficulties associated with capture of data relating to the various records systems/collections can be overcome with careful planning of the records survey. The process for conducting the survey and compiling the records inventory should follow a number of logical steps.

Stage 1 Planning

Compiling a complete records inventory is a significant work stream within an NHS Board, given the range and volume of records, the multiplicity of locations, staff and media involved in creating, retrieving, reproducing, using, sharing, storing and destroying records.

The process of undertaking the records survey and compiling the inventory will be a gradual process and will require good organisation and planning in order to secure the commitment and support of all staff.

A practical way to compile an inventory is to do it in steps or stages e.g. by targeting specific directorates, departments or locations until all records have been covered. An alternative approach is to target specific record types such as is defined in the Department of Health Records Management : NHS Code of Practice. See Figure over:

Example of a stepped approach to compiling a records inventory

By record type* (alternative option could be by department/ location)

* As defined in the Records Management: NHS Code of Practice - See Appendix B

In order to achieve optimum effect you should:

1. Form a working group to be responsible for compiling the records inventory. This should be chaired by the Executive Director responsible for Records Management.

2. Identify scope and extent of the records survey (consider which record systems will be surveyed and in which order).

3. Develop a plan and timetable taking account of the various records systems both health and administrative. The plan should include a schedule of which records and departments will be surveyed, by whom and when. Whenever possible this schedule should include estimates of the resources needed to complete each task

4. Review and agree survey form and data collection tool. A sample records survey form can be found at Appendix 1. A description of the data items can be found at Appendix 2 . An excel database suitable to record and aggregate the data items from the sample records inventory form can be found at web address.

Stage 2 Communication

In order to secure the commitment of all stakeholders a robust communication plan should be put in place and you should contact all managers and staff to explain the inventory process and how they will benefit. This should include:

• Purpose and objectives of survey
• Need to include all their records systems, manual and electronic (It is important to understand where and how all records are used and stored. Managers should therefore be asked to record details of all records systems they are responsible for, even if they think they may be duplicating information provided by another directorate or department)
• Explanation of survey form and arrangements for distribution, completion and submission
• Process for updating records inventory
• Process for periodic review of the inventory to identify new or omitted record collections to ensure the inventory remains up to date.

Stage 3 Undertaking the Records Inventory Survey

There are two ways of undertaking a records systems survey - assessment of the whole organisation by a dedicated team or completion of the records inventory survey form by individual directorates or departments. The appropriate method will depend upon the resource available and the level of understanding and commitment available from directorate and departmental staff.

A physical survey requires staff to visit operational areas, to look at records systems, ask questions and complete the survey form. Whilst this model is a thorough method of compiling the inventory, it requires manpower resource to form the team and planning to undertake the survey throughout the organisation. It is desirable that the team comprises of staff from other disciplines as well as experienced records practitioners as this helps to raise awareness of records management as well as provide mentoring and supported training in records practice. The team will also benefit from staff with local knowledge of each directorate or department.

The use of a circulated survey form relies on individual directorates and departments completing their return accurately and in a timely manner. The construction of the survey form must be considered carefully and explanatory notes or training provided to enable directorates and departments to accurately complete their return. Whilst this method provides a rapid and cost effective approach to gathering the survey data, greater coverage is likely to be achieved through physical observation. In some instances a mixture of the two approaches may produce the best effect.

Stage 4 Completing the Inventory Forms

A batch of records inventory survey forms should be sent to each directorate or departmental manager responsible for managing the various record collections. Forms can be sent electronically or by hard paper copy, along with relevant guidance notes, details of closing date for return and contact details of the Records Management Lead or other co-ordinating officer for return of forms, or to answer queries.

Stage 5 Compiling the Records Inventory

The Records Management Lead or designated officer should enter each record system/collection survey form in to a unified corporate inventory after allocating each system with a unique identification number. A sample electronic records inventory database can be found at here. This will also allow subsequent analysis of the data. Any duplicated or replicated record collections identified should be reviewed to establish appropriateness of maintaining multiple records.

Stage 6 Confirming and Updating the Records Inventory

The completed inventory should be regularly reviewed in order that it is kept as accurate as possible. Directorate/Departmental Managers should be asked to confirm details of each inventory entry on an annual basis. A process should be established throughout the organisation which enables directorate/ departmental managers to notify the Records Management Lead or designated officer whenever a new records system/collection is created, or where management arrangements change e.g. media storage, physical locations, destruction etc.