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UW MEDICINE WORKSHOPUW MEDICINE RECORDSMANAGEMENT SERVICESRECORDS MANAGEMENT 101CHRISTINE TAYLOR20161

WORKSHOP OVERVIEW UW Medicine Records Management Services- Who are we?Records Management-What is a Record/Public Record (RCW 42.56)?-What is a Records Retention Schedule (RCW 40.14)?-How can I manage my Electronic Records?-What can I do about Email?-How can I digitize and destroy records?Records Center-How do I send records to the Records Center?-How do I retrieve & return boxes/files from the Records Center?-How are records dispositioned?-How do I send/retrieve files from the Medical Records File Room?Questions

WHO ARE WE?1. Our Role2. Your Role3. Our Services

WHO ARE WE? Our Role- Implement strategic information management for UWMedicine records (including email)- Manage information lifecycle – regardless of format- Ensure adherence to State approved retentionschedules and disposition (destruction or preservation)of public records (WAC 44-14-03005, RCW40.14.050/060)- Represent UW Medicine at State Records Committee- Ensure a culture of compliance and mitigate riskregarding records and information management

WHO ARE WE? Your Role- Records Authority Authorizes disposition; makes significant decisions regarding department’srecords; authorizes other staff for access to records at the Records Center- Records Coordinator: Primary contact; assures day to day maintenance of records transferred toand requested from Records Center; assures department hasdocumentation regarding Records Center inventory; completes RTI’s in anaccurate and meaningful way- Submitted by Performs activities of a Records Coordinator; recognized by system as acontactRMS AND RECORDSCOORDINATORS PARTNERIN MANAGING RECORDS5

WHO ARE WE? Our Services-Management of UW Medicine Records Center Records inventory database (Versatile)- Manages box and file inventory- Publishes reports- Sends automatic notifications- Transferring records and records storage Records retrievals and returns Overdue records reminders Dispositions (records destruction or preservation)Management of UW Medicine Medical Records File Room Retrievals and returns- Paper charts- Microfilm- Images

WHO ARE WE? Our Services (continued)- Workshops/Consultations Records Management “101” Records Center “101” Digitizing and Destroying Records Managing Email Files Management Electronic Files Plans Unstructured Data Organization and Retention

RECORDS MANAGEMENT SERVICES What is a Record?- A record contains evidence of UW Medicine actions,decisions, approvals, or transactions- A record is determined because of it’s content (topicand elements) not because of its physical form orcharacteristics- Records at UW Medicine are public records(RCW 42.56)- Records cannot be dispositioned without using aState approved records retention schedule(RCW 40-14.050/060)

RECORDS MANAGEMENT SERVICES What is a Records Retention Schedule?- A comprehensive list of record series- Groups records Common functions and activities- Describes records Records series – group of related records, filed, used andevaluated together for retention purposes- Establishes a timetable for their lifecycle- Indicates disposition (preservation or destruction)

RECORDS MANAGEMENT SERVICES Schedules- UW Medicine General Schedule (UW Med GS) v1.6- State Government General Records RetentionSchedule (SGGRRS) gement-Services-RMS.aspx

RECORDS MANAGEMENT SERVICES Revising the UW Medicine RetentionSchedule-Identify gaps in schedule-Draft description and retention-Request feedback and advice-Send to State Records Committee for review and approvalImportant note: Records cannot be destroyed if theyare not reflected in our retention schedulesRECORDS COORDINATORSAND/OR RECORDSAUTHORITIES ARE KEYPARTICIPANTS

RECORDS MANAGEMENT SERVICES How do I manage myelectronic records?- Reminder: UW MedicineRetention Schedule appliesto electronic records Records include:- Database Content- Unstructured Data (Shared Files)- Email

RECORDS MANAGEMENT SERVICES What can I do about email?-In general, email is a format. However, each email represents arecord-A record is determined by its content, regardless of physical form orcharacteristic, and contains evidence of business decisions,approvals, or transactions-Emails at UW Medicine are public records (RCW 42.56) and aresubject to RCW 40.14 which applies to the preservation anddestruction of public records-Emails must be retained for their designated retention periods-Most emails are transitory in nature and can be destroyed when thebusiness purpose is fulfilled:-Preliminary drafts (e.g. letters, memoranda, presentations, informalnotes)Routine repliesDuplicate copies of messagesReference or informational distributionPersonal messages not related to the conduct of business

RECORDS MANAGEMENT SERVICES How can I digitize records and destroy thesource documents?-Digitizing (scanning or document imaging) is a process by which paperrecords are copied and saved as digital images-Digitized records must be accessible, retrievable, and readable-Departments wanting to digitize records and destroy the sourcedocuments must develop their own policy and procedures in accordancewith the UW Medicine and State policies-The policy and procedures must include the following:1.Written document imaging procedures (include acceptable formats and when to manipulate images forclarity)2.Written quality control and security procedures (include 100% image verification, access lists, passwordcontrols, and protocols for protecting confidential information, and for security breaches)3.A list of record types (series) being scanned4.Written naming conventions and file structures (if applicable)5.Written documentation regarding migration and preservation (include how retention and destruction ofscanned records will be assured)6.Written documentation regarding back-up and disaster preparedness plans (include regular back up protocoland offsite storage)

RECORDS MANAGEMENT SERVICES-Scanned records are to be kept for the appropriate, state approvedretention periods-Scanning records related to clinical and/or human subject researchmay require a more detailed process than outlined in the Statedocument, and may require additional security steps-Once the source documents have been scanned and verified, thesource documents can be destroyed after the time period outlined inthe departmental policy-Copies of all document imaging policies, procedures, andauthorizations will be kept on file at UW Medicine RMSIMPORTANT NOTE:- If the UW Medicine Records Officer has not approved a departmentalscanning and destroying policy, records can still be digitized, butcannot be destroyed- The paper version of the digitized records can be sent to UWMedicine Records Center for storage until the retention period hasbeen met

RECORDS CENTER SERVICES How do I send records tothe Records Center?-HRC/Request Tracker-Boxes/packing boxes Standard size FULL BOX No “lumps or bumps”-Records Transfer Inventory (RTI) form-Records Transfer Inventory for Human SubjectResearch/Clinical Trials (RTIR) formDescriptions and dates are important-Accession Confirmation ReportRMS WILL ASKQUESTIONS!

RECORDS CENTER SERVICES How do I retrieve boxes/files fromthe Records Center?-Who can request? Records Authorities Records [email protected] number-File or box name-Box number-Stat or routine

RECORDS CENTER SERVICES How do I return boxes/files tothe Records Center?-Same process as retrieving-Box content cannot change - Return same records in same box If records are removed, inform us prior toreturn Do not remove Record Center labelsOverdue boxes and files: reminders willbe sent if boxes/files are checked outlonger than: 90 days for boxes 30 days for filesBOX CONTENT CANNOT CHANGE

RECORDS CENTER SERVICES How are records dispositioned (destroyed orpreserved)?--Notice of disposition is sent to each department Authorization required Records will be returned if no authorization providedDestruction -Secure, protected, and documentedPreservation Processed for transfer to UW ArchivesRECORDS COORDINATORSAND/OR RECORDSAUTHORITIES ARE KEYPARTICIPANTS

RECORDS CENTER SERVICES What is a Destruction Log?-A document that lists and verifies that records have metapproved retention periods before destruction-Only applies to records not sent to the UW Medicine RecordsCenter-UW Medicine RMS Records Officer approval needed beforedestroying records3 signatures required The individual responsible for inventorying the records The Records Officer (Manager, UW Medicine RMS) The individual responsible for the destruction of the listedrecords (completed only after both above signatures areapproved)-Copy of destruction log sent to UW Medicine RMS whencompleted

QUESTIONSContact [email protected]/Internet Siteshttps://intranet.uwmedicine.org/BU/UWMedRMS/ (Use AMC ords-Management-ServicesRMS.aspx

- Management of UW Medicine Records Center Records inventory database (Versatile) - Manages box and file inventory - Publishes reports - Sends automatic notifications Transferring records and records storage R