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.
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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.
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Records Management Training
Records Management is simple…. It just doesn’t sound it.
We all create thousands of records and they have to be managed
Records sit on the conveyor belts for different periods of time.
RECORDS MANAGEMENT is like a series of conveyor belts
What you do:
1. Identify your records and their retention periods
2. Labelyour boxes of records properly
3. Write down (document) what you’re destroying
4. Arrange for secure shredding of records
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
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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 Social Care
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
Each individual directorate will have different records. If you support a different directorate to the one you’re under, please check both.
If you cannot find a certain record series please view Standard Categories before contacting RM team.
Chief Exec and ACX
Standard Categories is your general office records i.e. Invoices - which apply to all directorates.
Review before disposal - Social Care staff may have local knowledge or 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.
Why must we….
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
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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 A or E) This also helps you avoid putting multiple record series in a box.
Note: the Universal box label fits on the outside of these boxes
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
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.
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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
ALL PAPER IS TREATED AS
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.
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”
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
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We must be able to locate and provide records to comply with following legislation:
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.
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
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.
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.