Records Management Training

1
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
2
Records Management Training
START
3
Records Management is simple. It just doesnt
sound it.
We all create thousands of records and they have
to be managed
Continue
4
4 Simple Steps
RECORDS MANAGEMENT is like a series of conveyor
belts
What you do 1. Identify your records and their
retention periods 2. Label your boxes of
records properly 3. Write down (document) what
youre destroying 4. Arrange for secure
shredding of records
Creation
Disposal
4

• How you
• 1. Use the schedules
• 2. Use the RM label
• 3. Use the Disposal Register
• 4. Use Urban Recycling

Confidential
Continue
5
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
6
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
7
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
8
View Schedules
Communities
Each individual directorate will have different
records. If you support a different directorate
to the one youre under, please check both. If
you cannot find a certain record series please
view Standard Categories before contacting RM
team.
Chief Exec and ACX
Development
Childrens
Resources
CFBT
Mouchel
Standard Categories is your general office
records i.e. Invoices - which apply to all
directorates.
Standard Categories
Back
9
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
10
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.

Why?
Continue
11
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
12
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
13
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
14
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
15
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
16
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
17
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
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
19
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
Dont 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
20
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
21
REMEMBER ALL PAPER IS TREATED AS CONFIDENTIAL
Continue
22
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
23
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
24
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
25
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
26
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
27
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
28
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