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

Date record created/ updated

Enter date record survey form is being completed/ verified or updated.

Responsible manager

Give designation of manager responsible for records system/ collection

Responsible manager's name

Give full name

Responsible manager's job title

Give job title as per Human Resource records

Record type

Select type

Record name

Give description of the name of the records system / collection.

Record System Location/Department

Give details of the location and department where the records are stored

Information record contains

Give details of the data or documents contained within the record

Does record contain…

Select appropriate options

If record contains business information specify which type in free text.

Format / media type

• Select any combination of media types

Select appropriate options

Method of filing

Select appropriate option to describe how records are filed.

National Minimum Retention Period

• Refer to NHS Scotland Records Management Code of Practice

Give minimum number of years from retention schedule.

Agreed Local Retention Period currently applied to record system

Please advise what local retention period is currently applied before records are destroyed.

Disposition after retention has expired?

Select appropriate option

For external disposition is this on contract

Select appropriate option

Record system status

Select appropriate option and give date if records system is inactive i.e. no longer in use.

Does system have a Master Patient Index ( MPI)

Select appropriate options

Are Duplicate Records held

Select appropriate options, if yes provide details.

Is record routinely shared outwith NHS

Select appropriate option

If yes, is there an agreed data sharing protocol

Select appropriate option

Physical records storage

Provide details of physical location of records storage system.

Please advise if records are held at a team base or sub location during the period of a patients active treatment.

If records are held at a sub-location please provide details.

Volume of records held

Select appropriate option

Record storage system used

Select appropriate option

Method of securing access

Select appropriate option

Access to records

Select appropriate option

Arrangements for accessing records outside core hours?

Select appropriate option and provide a free text description to explain process for accessing the records out of hours.

Does storage area have sufficient space to accommodate new registrations?

Select appropriate option and give details of storage capacity and usage.

Is filing area included in the current "health and safety" book

Select appropriate option,

If No specify when it will be included.

Are there any business continuity plans

Select appropriate option and provide details

How frequently is record's system accessed

Select appropriate option

Tracking of Records

Select appropriate option and provide details

Transportation of Records

Select appropriate option and provide details. If other, specify transportation method.

Are users aware of organisation's records management policy

Select appropriate option

Have all staff had training on record keeping practice

Select appropriate option, if yes provide details.

Do you permit records to be taken "away" overnight by staff

Select appropriate options

Are records audited on a regular basis

Select appropriate option and provide details of the audit tool used to:

• determine the quality of clinical content of the records.
• the administration of the creation, filing, retrieval, archiving and destruction of the record.

Do you use secondary storage facilities

Select appropriate option and provide details.