Q: We are a small, private healthcare clinic in need of implementing processes to meet HIPAA compliance guidelines. Where do we start?
A: Understanding how HIPAA impacts your organization, as well as what steps you need to take to comply, is key to eliminating liability and noncompliance. Begin by familiarizing yourself with HIPAA guidelines, such as the type of personal health information that needs to be protected. Visit http://aspe.os.dhhs.gov or www.hipaa.com for detailed information. Evaluate internal operations to understand the impact HIPAA will have on your current practices. Review and document your security policies and procedures. Develop a privacy plan and implementation procedures that include securing patient records that contain individually identifiable health information. Designate individuals and vendor partners to oversee plan implementation and provide the products and services necessary to comply. Finally, inform patients of their rights and the steps you intend to take to safeguard their personal health information.
Q: We want to convert our current filing system to a color-coded, straight numeric system. Where do I begin?
A: Begin by evaluating your file inventory, including quantity, content and relevance. If you have a retention and destruction plan, make sure all necessary files have been purged and destroyed accordingly. Consider your business needs. Are you redesigning your system to accommodate growth or is it strictly for efficiency? Take into account how often you need to access your files and the compliance guidelines impacting your organization. Select the appropriate file folder, color-coded label design, and then determine label content based on straight numeric filing guidelines. Put procedures in place to incorporate the system, including timelines, expectations and results.
Set aside time to complete the transition without interfering with business. Consider working with a professional who can provide the tools you need to plan and implement your new system, including color-coded folders, label print systems, tracking technology and more.
Q: How can I reduce the costs associated with document management and simplify our records archiving process?
A: Implement "best practices" at the onset of the document lifecycle process and you will create efficiencies to save money in labor and materials. To simplify archiving, as well as the entire document management process, consider using a filing system designed to accommodate the storage and tracking requirements for both active and inactive storage. This will eliminate the need to transfer files at a later date into top-tab folders when archiving; or barcode files or boxes prior to relocation; or create a retention inventory of archived records. If storing archive files off-site, complete a detailed record inventory and develop guidelines for accessing and re-filing records before relocation to reduce the risk of misplaced or incomplete information. Also, remember to consider your company's retention and destruction policies as you develop off-site storage procedures.
Q: We had a fire at our office and our personnel files were subject to water damage. How do I repair those records?
A: The first step in records recovery is determining the number of records damaged and the extent of that damage. Fortunately, almost any wet paper-based document can be saved with immediate and proper action. If the number of damaged records is minimal and they are only damp or moderately wet, you can dry them in-house by laying them out, circulating dry air and possibly running a dehumidifier. The dryer and warmer the air, the faster the records will dry. Remember wet records should be handled carefully to prevent further damage. After records are dry, remove any dirt or dust with a soft cloth or brush. To handle a large volume of wet records, contact your local SYSTEC member to assist with the recovery. Consider transferring personnel documents to an electronic format that can be backed up and stored off-site as a preventative measure.
Q: My company records are primarily paper-based. What guidelines should I follow to retain my records?
A: Retention guidelines vary within organizations and are impacted by internal needs, as well as industry and compliance regulations. To implement an effective retention plan, analyze your needs and determine what constitutes a vital record. Identify legally significant documents as well as records impacting operations. Understanding the lifecycle of your records will help determine the length of retention. Most importantly, remember to follow industry-specific compliance guidelines. Remaining compliant will protect your business in case of legal action. A strong retention plan will make documents more accessible and internal processes run more smoothly. And remember, while your current records are primarily paper, prepare for the retention of important electronic documents such as e-mail.
Q: Is ISO 15489 different from other ISO standards?
A: Most ISO standards are highly specific to a particular product, material or process. ISO 9000 deals with quality management: enhancing customer satisfaction by meeting regulatory requirements to improve performance. ISO 14000 focuses on environmental management: minimizing harmful effects on the environment caused by a company's activities. ISO 15489 deals with records management: standardizing policies and procedures to ensure that evidence and information contained in records can be retrieved more efficiently and effectively. ISO 15489 is not a government regulation, but rather a standard of excellence that provides guidelines to achieve a higher level of accuracy, integrity and efficiency in document management practices. For more about ISO standards, visit their website at www.iso.org.
Q: As a small business owner, how do I know how long to retain my records?
A: Every organization, no matter how large or small, should have a records retention and destruction policy. However, retention policy requirements vary for every organization. There are internal business retention needs to consider as well as industry and government regulations. Becoming compliant is vital to the health and longevity of any organization. Compliance will help provide protection if ever called upon to produce business records for legal reasons. Also, a healthy retention schedule will help make documents more accessible. When developing a retention plan, don't overlook e-mail. Organizations are conducting more and more of their business over e-mail, and those messages are as much a part of your vital records as paper documents.
Q: What should we do to safeguard our records from fire or other natural disasters?
A: First, identify what vital and important records you would need to maintain in the event of a disaster. Vital records can be defined as those that contain information that is essential to the organization. Examples of vital records include titles, deeds, stockholder list and articles of incorporation. An important record is defined as one that contains information fundamental to the organization. Examples of important records are contracts, invoices and client files. Second, make an electronic or paper duplicate copy of both vital and important documents. Third, find a secure location to store all duplicates of the records offsite. Originals should be stored onsite in a fire-safe lockable cabinet, storage unit or fire-safe room.
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