Lancashire Record Office

Records Management Service

LANCASHIRE RECORD OFFICE Records Management Service

User Guide

Contents

Introduction 2

Summary of service 3

Implementing Records Management in your Section

Implementation 4

Preparing a Disposal Schedule 4

Operation Alterations to the Disposal Schedule 6

Automation of the Records Management Service 6

Transferring records 6

The Transfer List 7

Collecting records 8

Retrieving records 8

Disposing of records 8

Glossary 10

Contact Information 12

Appendix

Examples of documentation i Disposal Schedule 13 ii Example Transfer sheet 14

1 Records Management Service

LANCASHIRE RECORD OFFICE Records Management Service

Introduction

The County Council is required, under section 224 of the Local Government Act, 1972, to make proper arrangements for the care and administration of its records. The Lancashire Record Office exists to assist in carrying out that obligation and has developed a system for the effective management of departmental files and other records

The aims of this system are threefold:

1 to destroy at the earliest possible opportunity records which are no longer required for administrative purposes and have no lasting value

2 to identify records needed for reference or to fulfil statutory or legal requirements, and to ensure that they are retained for as long as necessary

3 to provide an efficient retrieval service for semi-current records

Summary of Service

The Records Management Service is run for Lancashire County Council by the Lancashire Record Office.

Sections provide lists of all the types and categories of records they produce. They decide how long each category of record should be kept after it has ceased to be in current use and record this information on a Disposal Schedule. Records no longer required for day to day administrative purposes in the section (semi-current records) are transferred to the Records Management Service.

It is the responsibility of the section to prepare its records for transfer and to draw up the Disposal Schedules and Transfer Lists

The Records Management Service takes over the control of semi-current records. Its staff provide an efficient retrieval service and implement the Disposal Schedules drawn up by the business units.

It is the responsibility of the Records Management Service to arrange for the removal of the records from a section to the Records Management storage areas, to retrieve records as required and to arrange for the ultimate destruction of records not selected for permanent preservation

PLEASE NOTE:

The term records includes volumes, correspondence, reports, invoices, forms and plans as well as files. They should be transferred to the Records Management Service as soon as they have passed out of current use, preferably at regular intervals and in consignments of no fewer than 4 boxes.

A section’s files and document references are retained throughout the semi-current life of the records to facilitate use by the section which created them. The confidential nature of the records is respected at all times and sections are always consulted before any item is destroyed.

Any proposals to microfilm records as an alternative to using the Records Management Service should be discussed with the County Records Manager at an early stage.

Implementing Records Management in your section

Implementation The first stage in the implementation of the records management system in a business unit or section is the preparation of a disposal schedule.

Preparing a Disposal Schedule The disposal schedule is a statement of destruction policy. It is a master list of all the types or classes of records produced by each section and how long they need to be kept once they have ceased to be in current use. This is called their retention period.

In order to create a disposal schedule you need to consider your team's functions and the types of records you are creating and maintaining as a result of your function. You also need to think about any known legal or statutory requirements on their retention. If you are uncertain, a Records Manager can advise in accordance with current best practice and guidance, and, in conjunction with a sections’ nominated senior officer, will set up new classifications for your records.

In drawing up the disposal schedule they should ask three questions:

1) Will the record be required for administrative purposes after it has been closed? If so, for how long? Certain categories of record need to be kept for a given number of years because the information contained in them is required for reference and because that information is not available elsewhere

2) Does the record need to be kept to fulfil any statutory or legal requirement? If so, for how long? Senior officers should identify records under their control which are governed by statutory or legal retention requirements: signed minute books and deeds for example must be kept permanently

3) Does the record need to be kept to fulfil any financial or technical requirement? If so, for how long? Some records need to be kept for a certain number of years because of the requirements of the District Auditor

Where possible, retention periods should refer to all records of a particular type, rather than to an individual file or document. They should normally be defined as a specific number of years from the date of closure of the record, although there will be exceptions to this, such as personal files which are often kept for so many years from the date of birth.

The disposal schedule should: . recognise that the primary aim of the Records Management Service is to dispose of closed records at the earliest opportunity . identify vital records which are likely to be of long-term value to the organisation . indicate the desired retention period for particular types or whole classes of records rather than for individual files or documents . define the retention period as a specific number of years from the date of closure . be a flexible document so that additional classes of records can be added as they are created and retention periods can be adjusted at any time

The retention requirements of the records will fall into four distinct categories:

1) Records which have to be kept for a certain length of time after closure (to fulfil the administrative, financial or technical needs of the organisation or to comply with statutory or legal requirements) but which can then be destroyed Most records will fall into this category

2) Records which have to be kept permanently Only a very small number of records need to be retained permanently and these will usually be transferred into the holdings of the Lancashire Record Office and become part of the County Council's archive

3) Records which can be destroyed at once These records have no value once they have passed out of current administrative use

4) Records whose lifespan cannot be defined at present and which need to be reviewed after a specified number of years These records are not required to be kept forever but it is not yet possible to foresee when they may be destroyed. Such records should be reviewed after a specified number of years, when it may be possible to decide on a destruction date. The number of records in this category should be kept to a minimum

Operation

Alterations to the disposal schedule The disposal schedule is the key to the operation of the service. It should be referred to when preparing records for transfer but it is not necessary to draw up a new disposal schedule to accompany each consignment of records. Changes and additions to the disposal schedule may be made at any time in consultation with the County Records Manager as long as evidence is provided to support such a decision and confirmation in writing is received in advance of the transfer of records.

Automation of the Records Management Service Information about records held by the Records Management Service is currently stored on a secure database in the Lancashire Record Office. Retention categories and class reference data are added to the information on each disposal schedule so that the computer can identify each type of record.

Retention categories indicate the action to be taken a given length of time after the closure of the records;

D destroy after n years R review after n years

Class reference data are alphanumeric references unique to a particular type of records created by a particular section of the organisation. Each contains 2 or 3 distinct elements;

e.g. LCE43011 LCE directorate code 43 section code 011 record type code

Class Codes are formed by the section code and the record type code

It is important that the Class codes are added to the transfer lists by the staff transferring the records to avoid confusion and mistakes where record types are not easily identifiable.

Preparing records for transfer Once disposal schedules have been completed the transfer of closed records to the Records Management Centre can begin.

Procedure: . contact the Records Management Service which will supply you with collapsible boxes (in strings of 20) and a master transfer list. Alternatively, the transfer lists can be e-mailed across to you or sent through the internal mail . complete a transfer list for all items to be transferred . check that all the records to be transferred are recorded on the disposal schedule and have a retention period assigned to them. If the relevant

classification code is not available, contact the Records Management Service for advice or to request additions to the schedules . boxes should be given temporary numbers to facilitate the location of records before the consignment has been fully processed. More than one box of files can be included on one sheet if temporary numbers are clearly shown in this way. . do not overfill the boxes, but do pack them well to save space and money . please do not include ‘returns’ (files already withdrawn from the Records Management Service and indicated by a yellow label) with a new consignment of files . do not tape the transfer sheets to the outside of the boxes or seal the box lids down. Place the transfer sheets in the top of temporary box one.

The Records Management Service checks the transfer sheets and processes the boxes into the Records Management system. A print-out of all records, with permanent box locations, will be supplied as a receipt. Other Management Reports are available upon request.

The transfer list The transfer list is a record of all items transferred to the Records Management Service on a particular occasion i.e. in a single consignment.

It is essential that this is properly completed by the staff responsible for transferring the records. Information from the transfer list is entered into the Records Management Service database and provides the means of locating the record and identifying when it is due for review or destruction. Descriptions need to be sufficiently detailed to enable the accurate identification of an individual file or piece of information.

A transfer list should accompany each consignment of records transferred to the Records Management system. It should be arranged in file number order unless an alphabetical or chronological sequence has been used.

It should include: . the name of the person transferring the records . phone number of the person transferring the records . name of the organisation . name of the directorate . name of the section . date on which the records are transferred to the Records Management Service . number of the box in which each record has been put for transfer (temporary box number) . class code for each record . brief description of each record e.g. file number and title . covering dates of each record . page number of each sheet of the transfer list

Collecting records Once the records are ready for transfer contact the Records Management Service and we shall arrange collection for you. Please note that a minimum of 4 and maximum of 100 boxes can be collected at a time.

Within the County Hall complex we can normally arrange for consignments to be collected within 24 hours. For services in and around Preston and in outlying areas such as Lancaster, Ormskirk, Accrington and Colne etc, collections are made on Wednesday morning during our dedicated van run.

Retrieving records One of the main functions of the Records Management Service is to ensure the efficient retrieval of records from the Records Management Centre when they are required for consultation by the originating section. All records are confidential to the section, the directorate and organisation which transferred them and may be withdrawn, by that section only, at any time. The continuing use of the original reference number and standardisation of file titles facilitates retrieval.

Procedure: . a request to consult a record should be directed to the Records Management Team. It may be made by e-mail, telephone, fax, or letter . the original reference number should be quoted together with the permanent box number recorded on the transfer list . the person requesting the record should state whether the request is urgent or whether the file may be retrieved as part of the normal retrieval procedure . files are delivered direct to the desks of staff based in the County Hall complex by the Records Management Team . deliveries to County Hall and the mail room are normally made within 1-2 hours of the initial request with urgent requests being turned around within 30 minutes, if necessary . files for the District Offices are distributed via the county’s secure internal mail system or by courier . records should be returned to the Records Management Service as soon as possible after use. They may be returned via the internal mail or will be collected following a telephone call . records withdrawn from the Records Management Centre remain the responsibility of the person in whose name they were retrieved. They should not be passed on to another person or section without notifying the Records Management Service . Reports on records which have been retrieved can be generated on request and at regular intervals

Disposing of records Records Management staff implement the disposal schedules drawn up by a section to ensure that records no longer required for administrative use are destroyed at the earliest opportunity.

Records scheduled for Review are retained in the Records Management Centre until the date at which the review is due, when the following review procedure is carried out:

. a notification is sent to the senior officer, listing the records due for review and requesting a reply within a month . the senior officer decides whether the records should be retained for review after a further period or whether they may be destroyed. If necessary the files can be returned to the section before a decision is taken . the senior officer informs the Records Management service of his/her decision . Records Management staff take appropriate action and ensure that all copies of the Transfer List are amended accordingly

Files scheduled for Destruction are retained in the Records Management Centre until the date at which their destruction is due, when the following procedure is carried out:

. a notification is sent to the senior officer listing the records due for destruction and requesting a reply within a month . the senior officer decides whether the records may be destroyed or whether they should be retained for a further period. If necessary the files can be returned to the section for inspection before a decision is taken . the senior officer informs the Records Management Service of his/her decision . Records Management staff take appropriate action and ensure that necessary annotations are recorded on the Records Management System, providing a complete and accurate disposal audit trail

If a response is not received within a month it is assumed that the records are no longer required and may be confidentially destroyed.

Glossary

Class Codes: a numeric reference identifying the types of records created by each section or business unit

Classification: systematic identification and arrangement of business activities and/or records into categories according to logically structured conventions, methods, and procedural rules represented in a classification scheme

Consignment: a batch of records transferred by a section or business unit to the Records Management Service

Disposal Schedule: a comprehensive list of official record series of the organisation or a business unit of the organisation for which predetermined periods of retention have been agreed

Records: information created, received and maintained as evidence and information by an organisation or person, in pursuance of legal obligations or in the transaction of business. For the purpose of the Records Management Service the term includes volumes, correspondence, reports, invoices, plans and files and incorporates both physical and electronic media

Records Management: field of management responsible for the efficient and systematic control of the creation, receipt, maintenance, use and disposition of records, including processes for capturing and maintaining evidence of and information about business activities in the form of records

Records Management Programme: a planned and co-ordinated programme of appropriate standards, policies and procedures for the effective control of Lancashire County Council’s records from their creation until selection for destruction for permanent preservation. The ultimate aim is to create a situation where there are fewer, better, more efficient and effective records

Record Series: a collection of file units or records arranged in a filing system or kept together having a common subject, theme or function, result from the same activity or document a specific kind of transaction

Records System: information system which captures, manages and provides access to records through time

Retention Period: the length of time for which a record should be kept before disposal or review. This should be recorded on the Disposal Schedule

Semi-current Records: records which are no longer in active use but which need to be kept for legal, statutory, regulatory or administrative needs. E.g. financial records need to be retained for 6 years for VAT purposes. It is these semi-current files which the Records Management Service stores and retrieves for sections

Transfer List: a list of the records transferred to the Records Management Service. A separate transfer list should accompany each consignment of records

Vital Records: records considered to be vital for the continued functioning of the authority in the event of an emergency

Contact Information

You can get in touch with us in a variety of ways. Requests and service enquiries, including requests for further training, can be e-mailed to us via the Records Management inbox or by telephone or fax. If no-one is available to take your call in person please leave a message and we get back to you as soon as we can. The messages are cleared several times a day.

General Enquiries General Enquires [email protected] Phone/Fax 01772 5-33030

Bruce Jackson: County Archivist x33026

Rachel Moffat: County Records Manager x33312

Responsible for running the service Contact for establishing the service

Pamela Austin: Records Manager x33975

x30734

Responsible for user services

John Prior: Records Management Supervisor x33030

Responsible for daily supervision of the service

Wendy Birch: Records Management Clerk (part time)x33030

Jean Cross: Records Management Clerk (part time) x33030

Andrew McWilliam: Records Management Clerk x33030

Valerie Shuttleworth: Records Management Clerk x33030

Contacts for general enquiries and to retrieve records

12 Records Management Service i - Disposal Schedule

Page: 1 23-Jan-2004 Records Management Service Reference Class List Sequence for RetentionEDUCATION Retention & CULTURALAction Prospective SERVICES Access DIRECTORATE notes pattern period code archive reference

LEQ52001 NA D 6 A FINANCIAL RECORDS Action description : 31 ST MARCH OF END OF FINANCIAL YEAR LEQ52002 NA D 3 A COPY BILLS/ORDERS/INVOICES Action description : 31 ST MARCH OF END OF FINANCIAL YEAR LEQ52003 NA D 6 A STAFFING CONTRACTS Action description : FROM DATE OF CONTRACT AWARDED LEQ52004 NA D 3 L COURSES LEQ52005 NA D 3 L ADMINISTRATIVE INFORMATION LEQ52006 NA D 3 A SERVICE LEVEL AGREEMENTS Action description : FROM RENEWAL DATE OF AGREEMENT LEQ52007 NA D 5 L CORRESPONDENCE LEQ52008 NA D 10 L MINUTES & AGENDAS LEQ52009 CHLD CARE RECORDS NA D 75 A Action description FROM DATE OF BIRTH ******* END OF DIRECTORATE *******

13 Records Management Service ii Example Transfer Sheet

Records forwarded by: Page Name ... A.Member….………………… …. EXTENSION.. x12345….… No.

Lancashire Record Office Directorate…C&YP…………………… Division …SSG…….. Records Management Service Section …Business Development… Date .…20.10.04 …………... 1/1

RECORDS TRANSFER LIST

Temp Class Description of Records Covering dates For RMS Box No. Code From To Use only Location

1 LEQ52001 Imprest Accounts 01/04/99 31/03/00

LEQ52001 Imprest Accounts 01/04/00 31/03/01

LEQ52001 Income and expense reports 01/04/99 31/03/00

LEQ52002 Invoices 01/04/99 31/03/00

LEQ52002 Invoices 01/04/00 31/03/01

2 LEQ52009 Smith, Jack (3 files) Jan 1993 Nov 2000 DOB 01/12/89

LEQ52009 Bloggs, Fred (4 files) Apr 1998 Apr 1999 DOB 25/04/92

LEQ25009 Jones, Sarah DOB 14/07/85 Jul 1985 Feb 1988

3 LEQ52004 ICT Courses (Jan – Mar 2000) 01/01/00 31/03/00

LEQ52007 Community Outreach Correspondence Jun 1998 Mar 2001

LEQ52008 Health and Safety Meeting Minutes 25/02/98 17/08/00

LEQ52008 Team Meetings (Jan 2000 – Dec 2002) 01/01/00 12/12/02

LEQ52002 Copy Bills 18/08/00 31/03/01

LEQ52005 Winchester House SLA (renewed 18/05/01) 18/05/01

For Records Section Use Only Consignment No. Section Code Received Consignment Input Records Input Receipt Sent By / Date By / Date By / Date