1 18 Records Management Training START 2 18 Records

1/18 Records Management Training START

2/18 Records Management is simple…. It just doesn’t sound it. We all create thousands of records and they have to be managed Continue

3/18 4 Simple Steps… RECORDS MANAGEMENT is like a series of conveyor belts 1. Identify your records and their retention periods Creation 1 What you do: Disposal 2 3 4 Records sit on the conveyor belts for different periods of time. 2. Label your boxes of records properly 3. Write down (document) what you’re destroying 4. Arrange for secure shredding of records How you: 1. Use the schedules Confidential 2. Use the RM label 3. Use the Disposal Register 4. Use Urban Recycling Continue

4/18 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

5/18 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

5 a/18 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

5 b/18 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 is your general office records i. e. Invoices - which apply to all directorates. Back

5 c/18 Social Care 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. Back

6/18 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?

6 a/18 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

7/18 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

7 a/18 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

7 b/18 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

8/18 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

9/18 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

10/18 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 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 Continue

11/18 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

12/18 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

12 a/18 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

13/18 R BE EM AS EM ED R AT RE S T I ER AL AP TI P LL EN A FID ON C Continue

14/18 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

15/18 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

16/18 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

17/18 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

17 a/18 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

17 b/18 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

18/18 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