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1. Background 4
4. Implementation 4
5. Archiving Offsite 5
The above guidance and other information management policies form the basis for this
archiving policy.
This policy should be read in conjunction with NHS Worcestershire other information
management policies and guidelines, namely:
Records Management Policy (including Department of Health Retention & Disposal
Schedules)
Records Management Strategy
Data Protection Policy
Freedom of Information Policy
Access to Health Records Staff Guidelines
Code of Practice for Employees in respect of Confidentiality
Information Governance Policy and Strategy
Staff Paper Diary Policy
The policy is also intended to aid paper records storage issues identified at various Trust
sites and to eliminate the need to retain paper records unnecessarily.
The policy relates to all paper filing systems not just those containing patient/client
information.
Before any archiving process is implemented, whether on or offsite, all collections of paper
forming a file must be checked for duplicates to ensure that the minimum number of
papers is kept. In addition, only papers considered essential to the file should be kept.
Any duplicates identified must be destroyed in local confidential paper disposal facilities or
by other appropriate confidential methods e.g. shredding.
All remaining papers must be correctly filed according to local policies/procedures. The
file must not contain loose papers unless the file is to be sealed.
Each file must be clearly and appropriately labelled with detail of the file content and
agreed review/destruction date as a minimum. (Refer to the Trusts Records Management
Policy Appendix D: Retention & Disposal Schedule for appropriate destruction date).
In some instances it is usual practice within the Trust for paper files to be archived on the
premises and it is assumed that filing space has been allocated for this purpose for all
closed files that need to be retained. In areas, however, where storage of records is
limited e.g. locality offices and health centres, offsite storage will be required, and it is the
aim of this Policy to guide staff through the process of archiving correctly, particularly in
relation to offsite storage.
5. Archiving Offsite
Where space is severely limited, it will be necessary to archive paper records away from
the premises. The Trust has therefore arranged for access to an archiving service based
in Worcestershire, which is run by Whitefoot Forward Ltd.
It is extremely important to note that each box of records that is sent to offsite storage has
a cost implication in terms of the cost of processing the box, the cost of storing the box for
the agreed retention period, and the cost of retrieval.
Obtain the agreed official archiving boxes and barcode numbers. For how to do this
please refer to your Business Unit Administrator or identified Service Lead for archiving
(see Appendix E). Each Unit will have its own account and any requests/storage fees will
be allocated to that account.
When commencing your archiving secure papers with treasury tags, or place in
appropriately labelled envelopes. Do not use staples, paper clips, files or rubber bands as
these rust or perish.
When filling your box itemise all the records that you are placing in the box on the
spreadsheet indicated at Appendix C which includes barcode number, patient details,
department and service location, and retention and disposal details. Where records are
not patient orientated give details of the type of record you are archiving.
Do not mix types of records or years. Keep one type of record to one box, eg discharges
in one, and diaries in another.
You will need to identify how long your archived records need to be kept and insert a
disposal date in the spreadsheet. To identify retention and disposal arrangements use the
NHS Retention & Disposal Schedule, which can be found on the Trust intranet at
http://nww.worcestershire.nhs.uk/guidelines--policies--procedures/records-
managementarchiving.aspx or the Trust public website attached to the Records
Management Policy found within Corporate Policies at
http://www.worcestershire.nhs.uk/publications/policies-and-procedures/corporate.aspx.
In all cases the box should contain a list of each set of records that is in the box.
Make sure your box is not overfilled or too heavy (see Appendix D). The maximum
weight for Health & Safety purposes is 13 kg. Lie documents flat in the archiving box, as
standing documents upright puts excess strain on the sides of the box and causes it to
become misshapen so the lid will no longer fit, only fill your box up to the handle hole.
Once your box is full and you have put a list of the contents inside the box, use parcel tape
to seal the box by taping around the lid and across the top of the box. Place your barcode
label at the short end of the box where it is printed customer box reference.
When boxes are ready to be collected, contact Whitefoot Forward Ltd by emailing
smartstorage@whitefoot-forward.co.uk quoting your account number and authorised
contact name. Boxes that are not appropriately filled and labelled will be refused
collection by the offsite storage company.
On collection a purchase order work sheet is signed off by Whitefoot Forward and Trust
personnel, and copies retained by both parties. This is then used to validate the payment
invoice.
You should receive confirmation within 1 hour, if requested during working hours,
otherwise it will be responded to the following working day. If you have not received
confirmation, then please contact Whitefoot Forward Ltd via telephone (01299 250566) to
ensure they have received the email.
Do not send the request to any email address other than the one listed as there is no
guarantee it will be responded to.
If you are requesting delivery within 1 hour then contact Whitefoot Forward Ltd by
telephone informing them of the request.
For ease of reference please follow the instructions in the flow chart Retrieval of
files/records - attached to this policy at Appendix B. It is recommended that each work
area laminates this flow chart and places it in an appropriately designated area for referral
by staff.
CORPORATE RECORDS
Records (other than health records) that are of, or relating to, an organisations business
activities covering all the functions, processes, activities and transactions of the
organisation and of its employees.
DESTRUCTION
The process of eliminating or deleting records beyond any possible reconstruction.
FILE
An organised unit of documents grouped together either for current use by the creator or in
the process of archival arrangement, because they relate to the same subject, activity or
transaction. A file is usually the basic unit within a records series.
HEALTH RECORD
A single record with a unique identifier containing information relating to the physical or
mental health of a given patient who can be identified from that information and which has
been recorded by, or on behalf of, a health professional, in connection with the care of that
patient. This may comprise text, sound, image and/or paper and must contain sufficient
information to support the diagnosis, justify the treatment and facilitate the ongoing care of
the patient to whom it refers.
NHS NUMBER
Introduced in 1996, the NHS number is a unique 10 character number assigned to every
individual registered with the NHS in England (and Wales).
PAPER RECORDS
Records in the form of files, volumes, folders, bundles, maps, plans, charts, etc.
RECORDS
Information created, received and maintained as evidence and information by an
organisation or person, in pursuance of legal obligations, or in the transaction of business.
An NHS record is anything which contains information (in any media) which has been
created or gathered as a result of any aspect of the work of NHS employees including
consultants, agency or casual staff.
RECORDS MANAGEMENT
Field of management responsible for the efficient and systematic control of the creation,
receipt, maintenance, use and disposition of records, including processes for capturing
and maintaining evidence of and information about business activities and transactions in
the form of records.
RETENTION
The continued storage and maintenance of records for as long as they are required by the
creating or holding organisation until their eventual disposal, according to their
administrative, legal, financial and historical evaluation.
RETRIEVAL
Return of paper records to authorised personnel.
ARCHIVING
NO
File remains in on-site storage
YES
Preparing your files for archiving
Obtain barcode labels and flat-packed boxes from Whitefoot Forward via email:
smartstorage@whitefoot-forward.co.uk (minimum order 20).
In order to do this you will require an account number (insert here when displaying
flowchart) from your Business Unit Administrator or Archiving Service Lead (see
Appendix E).
Your request to Whitefoot Forward must contain account number, authorised contact
name, delivery instructions (eg. next day) and your name, address and telephone
number
Index files using the Archiving Index spreadsheet (Appendix C) and save a copy into
the shared file on the M drive relevant to your own Business Unit.
Fill the box in accordance with Whitefoot Forwards guidance (Appendix D)
Collection of Files
Contact Whitefoot Forward to collect boxes via:
smartstorage@whitefoot-forward.co.uk
Remember to quote your account number and authorised contact name.
Confirm the number of boxes to be collected and arrangements for collection i.e. next
day collection, address and opening times, contact name and telephone number.
On collection a purchase order work sheet is signed off by Whitefoot Forward and PCT
personnel, and copies retained by both parties. The purchase order worksheet is then
used to validate the payment invoice.
Important - please note that only boxes filled in accordance with the Whitefoot Forward
guidance will be collected.
Retrieval of files/records
Once a file/record is identified for retrieval from the offsite storage, the file
will be recalled by box In order to recall the box you will need the barcode
reference number that you will obtain from your indexing system.
Quoting:
1. Box barcode number
2. Account Number
3. Delivery method i.e. normal/ next day/1hour
4. Delivery arrangements i.e. manned opening times, delivery point
5. Authorised requesting contact name
Once the request is sent via Email to Whitefoot Forward you will receive a
confirmation email with a work reference number within 1 hour of your request.
Please keep a note of this number as you will be required to quote it if you have any
queries or you wish to follow up your request. If you do not receive confirmation
within 1 hour follow up the request via telephone on 01299 250566.
Barcode Number
Date patient
last
Patient seen/date of Directorate
NHS Patient date of death/type of Department/ Department/Service Storage Retention Disposal Lead (Job
Number Surname birth record Service Location Location Period Date Title)
Who is the
Where lead member
This is the the box Refer to Refer to of staff for
date of the Where you are will be DOH the DOH your
actual record Your dept based stored guidelines Guidelines department
Your Equality Impact Assessment Report should demonstrate what you do (or will do) to
make sure that your function/policy is accessible to different people and communities, not
just that it can, in theory, be used by anyone.
1. Responsible Manager
Sandra Fessey, Corporate Services Manager