Transcript Records Management Training - Lincolnshire County Council

Before you start…
This presentation will provide an introduction to Records Management and links to
relevant documentation.
There are some sections which may only relate to certain areas of LCC e.g. schools
or social care. Please ensure you click these links if they relate to you.
Some links may request to continue to access to the page, to return to the
presentation simply press back on the web browser.
Only use your mouse. Do not use the keyboard to click through the slides
Continue
Records Management
Training
START
Records Management is simple…. It just doesn’t sound it.
We all create thousands of records and they have to be
managed
Continue
4 Simple Steps…
RECORDS MANAGEMENT is like a series of conveyor belts
What you do:
1. Identify your records and their
retention periods
Creation
Disposal
2
2. Label your boxes of records
properly
3. Write down (document) what
you’re destroying
3
4. Arrange for secure shredding
of records
Records sit on the
conveyor belts for
different periods of time.
How you:
1. Use the schedules
Confidential
2. Use the RM label
3. Use the Disposal Register
4. Use Urban Recycling
Continue
1.
Identify
What sort of records do you hold?
A way of handling your records has been created for each directorate its called “Retention and Disposal Schedule” (We call it schedules!)
What does this mean to you?
It means that you have to look after your records properly
Continue
Back to 4 Simple Steps
Schedules
How to read the schedules…
Reference Number – unique, you can use to identify your
records (via search tool).
Function & Activity - two columns which have been
incl. for future use by the RM team.
Record Series – name or type of record (e.g. Invoices)
Retention Action – how long records should kept.
Note: Files should be reviewed before arranging disposal (esp. Social care),
Records of historical value should be offered to the County Archives.
Notes – Anything which may be of significance
For information about schedules in your area click on the links below:
For Schools
For Directorates
For Social Care
Continue
Schools
Your schedule is slightly different:
It starts with a summary of contents followed by the
schedule on page 6
The schedule has the same headings as the directorate
schedules with two extra headings:
Data Protection Issues – Has a yes or no answer
Statutory Provisions – Shows relevant legislation/
regulation which often influences the retention period.
View Schools Schedule
Back
View Schedules
Communities
Each individual directorate will
have different records. If you
support a different directorate to
the one you’re under, please check
both.
Chief Exec and ACX
Development
Children’s
If you cannot find a certain record
series please view Standard
Categories before contacting RM
team.
Resources
CFBT
Mouchel
Standard Categories
Standard Categories is your general
office records i.e. Invoices - which
apply to all directorates.
Back
Social Care
Review before disposal - Social Care staff may have local knowledge
may be involved with other family members and decide to retain after
specified disposal date
Note: Retained files should be reviewed again after 3 years.
Back
or
Things you should know…
• Records Management (RM) has been introduced
across all Directorates (incl. Schools) to help keep
track of records from creation to disposal.
• The retention period applies to the master copy of
the record only - which ever is deemed as the master
(electronic or paper) must be kept for the relevant
period – all duplicates can be disposed of.
• RM maintain a master spreadsheet showing each
type of record, its custodian and their contact details. It
is important for RM to be notified of any changes to
these details.
For example: When people change jobs or move office.
RM must be able to track where records are being kept.
Continue
Why?
Why must we….
• We must be able to track our records in the case that
they are required under DP or FOI and/or for the security
of them.
In August 2007, some confidential files were left in a closed down centre, in
which the property was broken into. The records were then found by a
member of public who then told the Lincolnshire Echo.
Back
Other things you should know…
• RM applies to all information stored in paper and
electronic formats (incl. e-mail); by implementing RM
you create an audit trail.
• RM Team conduct regular storage audits to offer advice
and guidance on Records Management Issues.
Why?
• We require you to inform RM of any missing or
new record series as these can be added to the
relevant schedule
Why?
Continue
Why must we….
• If you do not inform RM that you are missing a record series
from the retention schedule, you may not be aware of its
retention period and/or its importance. If you dispose of a
record that should have been kept longer, LCC may be liable
to legal consequences.
Back
Why must we….
• RM conduct the storage audits so that we know:
what amount of records we have, where they are stored and
to ensure you are following correct policy & procedure.
Back
Top tips:
•To enlarge the schedule: press the + symbol on the
tool bar
•To view all columns and rows use the scroll bar at
the bottom and side
•Print individual pages by using the print icon on the
tool bar and selecting ‘current page’ or ‘from’ and ‘to’
boxes
•Should you print any page you must destroy
after use as they are updated regularly and the
most up to date version will be available via the
RM homepage.
•CTRL & F launches the search box of which you
can use a key word or record series reference
number.
Continue
2. Box Labels
RM have designed labels in conjunction with the Retention and
Disposal Schedules. This is so each department is recording
the same information on the outside of the box.
Note: You should use the schedules when filling out the label to ensure correct information.
Labels are 4” (W) by 5” (H) and self adhesive, allowing
storage boxes to be re-used with fresh labels.
View Directorates Label
View Schools Label
Box Labels can be ordered from RM and prices are as follows:
500 Labels = £17.50
750 Labels = £26.26
1000 Labels = £35.00
Open online order form
Continue
Back to 4 Simple Steps
General Storage
Records which are not in use or very rarely used can be boxed and labelled
for archiving – this frees up space in the office for current files.
Note: this is usually done at the end of a calendar or financial year.
Keep track of your records, use a finding aid.
Download a blank template. Either fill out manually or electronically, easy to fill out if
you use the schedules.
View finding aid
RM recommend that you only use the small transfer files as the large
storage boxes can be dangerous to lift above waist level. (ESPO: Page 114
This also helps you avoid putting multiple record series in a box.
Note: the Universal box label fits on the outside of these boxes
Continue
A or E)
Offsite Storage
Records Management currently have an agreement with Magnum Services
who store documents for long periods of time for your areas.
Once records have been boxed and the contents listed, a member of staff in
your team can arrange collection via the E-form.
Records can be retrieved and returned to your office again via an e-form
request.
Note: The cost of storing records at Magnum must be met from individual Directorate/ School budgets.
If you wish to set up storage with Magnum, you will need to contact the RM team.
For more info & website
Continue
3. Disposal
By using the Schedules, you will have created destroy dates for all of your
archived records.
When a destroy date is reached, you will need to fill in a Disposal
Register - this gives you a full audit trail.
View Disposal Register
Don’t forget to review your files before disposal.
For Social Care
Once the Disposal Register has been completed, destruction must be
arranged as soon as possible.
You do not need to remove clips or staples but please remove
plastic items.
Urban Recycling Ltd only.
Continue
Back to 4 Simple Steps
Social Care
Social Care files must be reviewed and the destruction field must be
completed in the ‘further details’ section of the front sheet screen in
Swift.
There is no need to complete a disposal register, provided a date is
entered in this field.
It is important to identify and review all files relating to a service user
before arranging for disposal
Back
Continue
Disposal
Large Volumes:
If you are disposing of large volumes of records you must
contact Urban Recycling separately.
When Urban Recycling collect, they will issue you with
Destruction Certificate, this will have a red reference
number which is placed in the last column of the disposal
register.
Continue
Disposal
Small Volumes:
For sites managed by Mouchel, you can use the grey lockable
bins or green boxes/white bags. If placed in an unlocked
container, please shred sensitive records.
Note: A sensitive file has contents which should only be viewed by an appropriate person
If you use the containers emptied by Mouchel please mark on
your disposal register the date you put the record into the
container and mark as “Commissionaire Collection”
Continue
4. Shredding records…
Urban Recycling Limited are a recycling company who have been
looking after commercial and household waste for 30 years.
RM recommend using Urban Recycling for safe disposal of records.
The staff working at the site are CRB checked and secure process is
in operation.
Urban Recycling collect confidential waste and cardboard, providing
paper recycling bags of all sizes and a selection of wheeled bins,
some of which are fitted with locks for extra security.
For more Info
Continue
Back to 4 Simple Steps
The Legal Stuff…
We must be able to locate and provide records to
comply with following legislation:
Why?
Data Protection (DP)
Freedom of Information (FOI)
It is important for staff in every department to know
what records are held, where these are kept and
how long we need to keep them for.
Why?
Continue
This is why…
All public and private sector bodies are governed by the
Information Commissionaire Office (ICO). Depending on
which act it is … if we cannot fulfil the request, we may
be breaching the act and there can be legal
consequences.
The Information Commissioner's Office is the UK's
independent authority set up to promote access to
official information and to protect personal information
Back
This is why…
Staff need to know where their records are in case
they should be subject to a request under the DP/FOI
acts.
Back
Thank you for completing the training
You will now be taken onto a few questions to test your
understanding and also to evaluate our training.
Exit