Guest Post

New NHS Code of Practice on Records Management

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Laura Hynds, records manager working within the NHS, January 2017


During 2015/2016 Daniel Scott-Davies and I, on behalf of the Archives and Records Association (ARA) were involved in the revision of the NHS Code of Practice on Records Management, last revised in 2009. The revised Code of Practice was written by the Information Governance Alliance (IGA) and can be found at the following link: https://www.gov.uk/government/publications/records-management-code-of-practice-for-health-and-social-care. The previous Code of Practice and associated retention schedule have now been withdrawn.

 

The NHS Code of Practice on Records Management is the key guidance document for those working at all levels in the health sector regarding records retention periods and records management. It is used as the basis for organisational policies on the subject and provides guidance to organisations on the transfer of Public Records to a Place of Deposit – these are records identified with continuing value which should be in the care of professional archivists.

 

Whilst the archives community has had significant involvement in the major revision of the 2006 Code, the first draft that was viewed by the ARA of the new code was far from best professional practice – in particular the retention schedule. Along with my colleagues, I had serious concerns about the number of categories with retention actions of ‘destroy’, the lack of consideration for records which should be reviewed for long term archival retention and inconsistencies with legislation. Following this initial review of the document, Daniel and I decided that the ARA needed to be more involved in the process.

 

It took a formal letter from the CEO of the ARA addressed to the chair of the IGA, copied to several senior stakeholders including Dame Caldicott and MPs, for our concerns to be taken seriously and for us to be added to the working group for the revised code. Once we were more formally involved, a good working relationship between the ARA and the IGA developed which will be useful to draw upon in the future. Working together, we negotiated many changes to the document which at times was challenging. Many of the changes that were made were linked to the input of archivists for the 2006 Code.

 

Whilst the published version of the code is not perfect, the document was at a stage where it could be endorsed by the ARA and is a much stronger document than it was back in the summer of 2015. The first part of the published code provides up to date guidance on a range of record keeping issues from records storage to digital continuity and there is a new, useful section on dealing with specific types of records. These range from prison health records to records created by social media and websites.

 

The area where the ARA has had the most input has been the records retention schedule. This now includes right at the start a message regarding recordkeeping and the Independent Inquiry into Child Abuse. Retention periods for clinical research trial records have changed in line with European Regulations. The disposal actions of several record categories have also been updated. If you work within the health sector or acquire records from the health sector into an archive, it is definitely worth reviewing your own policies in line with the new guidance – something we are doing at present.

 

The retention schedule is shorter than the previous one and we have concerns in particular over the length of the section on pharmacy records as this is an area that produces large amounts of significant records within many NHS organisations, particularly hospitals. The schedule at least now links to somewhere where additional guidance can be found. We also continue to be concerned over the guidance on maintaining electronic patient records held in systems. Both of these issues will hopefully be considered with the first annual review of the code in July 2017.

 

On the NHS Digital website, it is now possible to provide feedback on the Code of Practice prior to the annual review. The link to provide feedback can be found here: https://nhs-digital.citizenspace.com/information-governance-alliance/records-management-code-of-practice-2016-feedback/. One of our concerns with the initial revision of the code was the lack of representation from the Royal Colleges. Due to the regular review cycle the document will continue to be worked upon and developed so please feedback any concerns you may have from a recordkeeping point of view. Daniel and I are also happy to raise concerns and advocate for those within the profession regarding the code of practice as well as other issues regarding recordkeeping within the NHS.

Guest Post

‘A Corporate Humanity’ – Cataloguing the Records of the Glasgow Public Health Department

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Alison Scott, Project Archivist, Glasgow City Archives


The Wellcome Trust is funding a project to catalogue the records of the Glasgow Public Health Department and its predecessor authorities.

Glasgow paid a heavy price for being the ‘second city of the empire’. Rapid industrialisation led to over-crowding and dangerous levels of pollution. The resulting effects on the health of the people were profound. In 1895 the Public Health Department was formed, as the city attempted to address these effects. Under its succession of dedicated Medical Officers of Health it slowly created a better city.

 

[View over Glasgow tenements, 1897 ref: D-HE/4/1/8/10]
The Department’s work lent itself to statistical analysis and the ultimate expression of this was the annual report of the Medical Officer of Health. The Department used the report both to quantify the issues and illustrate their progress. They date from 1863, when the first Medical Officer of Health was appointed, and the amount of information in them increases over time with a typical report from 1913 having 58 tables as appendices as well as further statistics in sections on population; maternity and child welfare; infectious diseases; respiratory diseases and tuberculosis; venereal disease; the work of the Port Local Authority; housing; Bacteriological Laboratory; food; air purification; and the work of the hospitals.

[Children receiving light treatment, 1926 refL D-HE/7/2/1/6]
The annual reports are supported by files of raw data used to compile them, along with weekly and fortnightly returns of mortality statistics (1844-1973); and reports on specific events such as the typhoid outbreak in 1880 and the influenza epidemic in 1957. Although not all the administrative files of the Department have survived, those that there are in the collection also help to add meat to the bones of the ‘official version’.

 

The collection also contains the Department’s working records such as reports on housing conditions and insanitary tenements (1920); returns of infectious diseases (1920-1973); prosecutions for smoke pollution (1899-1960); and files on the wartime inspection of shipping.

 

Apart from the core records other resources include 137 newspaper cuttings files on a wide variety of health and social subjects (1907-1939); publications by the Department (1897-1974); and a large number of glass negatives and lantern slides.

 

Work is already finished on the departmental records themselves and an item-level list of this important collection is available for the first time.

 

[Cover of a Public Health Department publication, c 1944 ref: D-HE/6/1/24]
The project has not stopped with the records of the Department, however. Acknowledging the complicated history of health functions in Glasgow, the current work of the project is to re-catalogue the Police records. In the 19th century policing the city was seen as much more than a crime-fighting operation. Records of the Board of Police and its committees date from 1800 and cover such subjects as health, hospitals, cleansing, and sewage disposal.

 

The project is similarly extended to the records of the burghs absorbed into the city through boundary extensions as they also had public health functions. Their records will be re-catalogued, including a substantial amount of previously unavailable material.

 

The quotation in the title come from the sermon given at the funeral in 1904 of James Burn Russell, Glasgow and Scotland’s first full time Medical Officer of Health. The minister presiding looked to a future where there would be ‘a corporate humanity, a public virtue, a body-politic with its laws, duties and responsibilities’. He saw Russell as having fought against both ignorance and selfishness to create a model of his work in sanitation for the rest of the world to follow.

 

An online article in celebration of James Burn Russell, Glasgow’s first full time Medical Officer of Health, can be found at: http://bit.ly/2dxyiZl

 

For further information contact Alison Scott, Project Archivist: alisone.scott@glasgowlife.org.uk.

 

Guest Post

Towards Dolly: animal genetics archives at the University of Edinburgh

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Clare Button, Project Archivist, University of Edinburgh

 

Today, Edinburgh is world-renowned as a centre for animal genetics and genomics. This history stretches back over a century, and has left a rich documentary record. Over the past four years, Edinburgh University Library Special Collections has received two large grants as well as a scoping and digitisation grant, all under the Wellcome Trust’s Research Resources scheme, to preserve, catalogue and make available this important heritage.

I started as Project Archivist in 2012 with the project ‘Towards Dolly: Edinburgh, Roslin and the Birth of Modern Genetics.’ Since then, the work of this and related projects has encompassed a variety of activities: book and archive cataloguing, conservation, digitisation, public engagement, oral histories, an exhibition and academic research.

Plate from Mendel's Principles of Heredity, William Bateson (1930).  Roslin.S.21
Plate from Mendel’s Principles of Heredity, William Bateson (1930).  Roslin.S.21

The earliest archival collection relates to James Cossar Ewart, professor of natural history at the University from 1882 to 1927, who was instrumental in establishing genetics as a subject at the University. He is most famous for carrying out cross-breeding experiments on zebras, of which there are some fascinating photographs. The most recent collection is the records of the Roslin Institute, who hit world news with the birth of Dolly the sheep in 1996. And it’s not all just about the science: the collections also comprise artwork, a record of scientists singing comedy genetics songs, photographs of social events, a vintage microscope and even wooden signs from buildings! These collections tell the story of how genetics has diversified over the last century, from large-scale and long-running animal breeding experiments and perilous work with mustard gas, to modern-day cloning, stem cells and biotechnology. Since the projects began we have continued to receive donations from scientists and their families, which has expanded our collections from the original 9 to 23 (and counting).

James Cossar Ewart with a Burchell’s zebra ‘Matopo’, c.1899. Coll-14/4/6
James Cossar Ewart with a Burchell’s zebra ‘Matopo’, c.1899. Coll-14/4/6

In addition to the archives, we also hold an array of published scientific papers and some outstanding rare books originally from Roslin’s library, the earliest of which dates from 1573! These papers and books were catalogued by the project’s Rare Book Cataloguer, Kristy Davis, as were a collection of 3,500 glass photographic slides dating from the late 19th to early 20th century. This collection depicts not only different breeds of livestock but also people and scenes from around the world (our favourite is a picture of a man riding a llama). This fragile collection received conservation treatment, as did a number of rare books and archival items, and in 2014 the slides were also digitised to further facilitate access. All the slides are now available to view online at http://images.is.ed.ac.uk/luna/servlet/UoEgal~6~6.

Roslin glass slides, Anthony Wingfield riding a llama. Coll-1434/1695
Roslin glass slides, Anthony Wingfield riding a llama. Coll-1434/1695

At first I was daunted that my lack of genetics knowledge would make cataloguing difficult. However, we were lucky to have support from two academic advisers, Steve Sturdy (Professor of the Sociology of Medical Knowledge, University of Edinburgh) and Grahame Bulfield (former director of Roslin and Emeritus Professor of Genetics, University of Edinburgh). Steve and Grahame helped decipher laboratory notebooks, identify people and places and introduced us to useful contacts. This said, being immersed in the collections for so long has improved my scientific vocabulary, and I’m pleased to say I now know my DNA from my Drosophila

We’ve worked hard to engage the research community with these rich collections by presenting at conferences, networking at University events and maintaining a blog (http://libraryblogs.is.ed.ac.uk/towardsdolly/). However, it has also been valuable to engage with the public about the collections and the stories they tell. At events like the Edinburgh International Science Festival, Doors Open Day and talks at local history societies, people often express a real sense of local pride in Dolly and surprise at the diversity of genetics research in Edinburgh’s history. Probably our most successful piece of engagement was the exhibition ‘Towards Dolly: a century of animal genetics in Edinburgh’, which ran in the Main Library from July to October 2015. This featured an array of material from our collections as well as items on loan from scientific institutions (including DNA models, stem cell artwork and the microscope used to clone Dolly) and, of course, Dolly the sheep herself from National Museums Scotland. Dolly is a hugely popular exhibit, and the exhibition received our highest ever visitor figures as well as a proliferation of ‘Dolly selfies’! You can see some of the exhibits here: https://exhibitions.ed.ac.uk/search/*:*/Exhibition:%22towards+dolly%7C%7C%7CTowards+Dolly%22

Towards Dolly’ exhibition, image courtesy of the Digital Imaging Unit, University of Edinburgh
Towards Dolly’ exhibition, image courtesy of the Digital Imaging Unit, University of Edinburgh

As comprehensive as the collections appear to be, there are inevitably gaps in the records. With the help of Grahame Bulfield, we carried out a series of oral history recordings with ten contemporary scientists involved in genetics and genomics, one of whom had begun work as a scientist in the 1940s. These recordings, which we plan to make available online in the future, are full of personal anecdotes, reminiscences and valuable information which are not always captured in paper records.

‘Drosophila ballet’, photograph album from the Institute of Animal Genetics, 1955. EUA IN1/ACU/A1/6/4
‘Drosophila ballet’, photograph album from the Institute of Animal Genetics, 1955. EUA IN1/ACU/A1/6/4

After working so closely with this material for a number of years, it was hard to leave it behind once the projects came to an end. I was therefore delighted to receive a Research Bursary from the Wellcome Trust, which is currently enabling me to carry out academic research on the collections I have catalogued, as well as to visit other genetics collections which have received Wellcome Trust funding. From this research I hope to produce a journal article about the early history of animal genetics in Edinburgh, as well as continuing to engage with our academic and public audiences about these diverse collections. Dolly lives on!

Find out more about the projects here:

http://collections.ed.ac.uk/towardsdolly

 

With thanks to the Wellcome Trust:

https://wellcome.ac.uk/