An Approach to Records Management Audit

An Approach to Records Management Audit

http://www.connectingforhealth.nhs.uk/systemsandservices/infogov/records/it04a.pdf


INTRODUCTION
This guidance has been developed to help organisations establish regular
programmes of audit that will both demonstrate, and provide assurance of, its
compliance with good practice standards laid down for Records Management,
The guidance recognises the different ways that organisations can obtain
assurance of compliance and provides, as an annex, a number of checklists
that can be used to measure and test compliance within the key components
(the lifecycle) of records management; creation, retention, maintenance, use
and disposal.
The checklists include prompts to measure good practice required across a
number of standards; including: The NHS Records Management Code of
Practice, the NHS Care Records Guarantee, ISO 15489 – international record
keeping standards and the Information Lifecycle Management elements of the
NHS Information Governance Toolkit.
What is meant by ‘Audit’?
The word ‘audit’ is most often associated with an independent examination of
financial records by external auditors or consultants, or the body or
department undertaking this. In its broader context, ‘audit’ can be used to
describe a review or scrutiny of any system, or of the processes that make up
a system. The main purpose of an audit is to provide assurance that systems
and processes are effective, compliant and risk free. It also provides a
mechanism for regular scrutiny and improvement of systems.
What is meant by “Information Lifecycle Management?
Information Lifecycle Management (ILM) is the policies, processes, practices,
services and tools used by an organisation to manage its information through
every phase of its existence - from creation through to destruction. A records
management policy will form part of an organisation’s ILM, together with other
processes, such as for example, a records inventory, secure storage, records
audit etc. The main principles of ILM are (a) that it applies to information in
paper and other physical forms, e.g. electronic, microfilm, negatives,
photographs, audio or video recordings and other assets and b) that it relates
to the 5 distinct phases in the life of information; creation, retention,
maintenance, use and disposal.
PLANNING AND PREPARING AN A