Records Management Good Practice Guide
Introduction
This guide is intended to help you reduce the amount of records you hold, decide which records need to be kept on-site and which can be sent to off-site storage with the Records Management Service.
The Difference Between a Record and a Normal Administrative File
A record is a document that is maintained as evidence and information, in accordance with legal obligations or in the transaction of business. A record has operational, administrative, legal and historical value and is vital to support the operations of Somerset County Council. A record needs to be authentic, reliable, unaltered, usable and evidential and needs to have value and integrity. Examples include reports, committee minutes, case files, project files, plans, ledgers, etc.
Files that do not need to be kept for legal or corporate reasons, which have no value and are ephemeral, are classified as ‘normal administrative documents’, rather than ‘records’. They should be routinely destroyed once they are no longer required. Examples include superseded manuals, catalogues, trade journals, working drafts, duplicates, routine emails, telephone messages, etc.
Retention Periods
The majority of records are governed by ‘retention periods’. These are determined by legal, regulatory or best practice guidelines, such as The Local Government Act 1972, Data Protection Act 1998, etc. It is essential you apply a retention period to all records you create and manage to ensure they are kept for as long as required and are then destroyed as soon as they are no longer needed. This ensures effective management of office space, reduces unnecessary storage costs with the Records Management Service and ensures compliance with any applicable legislation or best practice policies. Further advice on retention periods can be obtained from the Generic Retention Schedule on the SCC Intranet or from the Records Manager.
Quick Decision List
Records fall into three categories:
DestroyRecords that have reached the end of their retention period.
For audit and evidential purposes, remember to keep a list of all destroyed records and the destruction date.
ArchiveRecords that have ceased to be required on a regular basis and are now ‘dormant’ (e.g. case closed), but need to be kept in order to comply with a retention period and any applicable legislative requirements.
OfficeRecords that are still open, current, required on a frequent basis or need to be kept on-site for a specified period before archiving.
Use the Flow Chart to help you decide which categories your records come under. Remember unnecessary retention = additional storage, cost, and management!
Records Flow Chart
Systematically go through your filing system to decide whether files are still current, are dormant or can be destroyed.- Is it listed on the Retention Schedule?
YES- How long do I need to keep it?
- Is it ‘Destroy’, ‘Archive’ or ‘Office’?
- Proceed to the appropriate option, below.
‘Normal administrative document’: keep in office or destroy.
‘Record’: contact the Records Management Service for advice on retention periods, then proceed to ‘YES’.
DESTROYAll records that are no longer required for any applicable retention periods. Check against Retention Schedule or with Records Manager.
Destroy if:
- Past its required retention period, as stated on the Retention Schedule
- Duplicate / superseded
- Print-out of electronic record
- Catalogue, publication, etc, available on-line
- No evidential reason for retaining
All records that are ‘dormant’ but need to be kept for legal/regulatory/corporate reasons or to comply with corporate policy.
Archive if:
- Listed on the Retention Schedule
- Not required on frequent basis
- Stipulated time period after closure, as stated on Retention Schedule, has expired
- Closed
- Needs to be kept for legal/regulatory/corporate practice reasons
All records that are still open, current and required on a frequent basis (e.g. open case files, current financial year files, etc).
Keep in office if:
- Still current
- Required on a frequent basis
- Needs to be kept in office for stipulated time period before archiving
DO NOT destroy if:
- Case has been re-opened
- Is part of an investigation, Freedom of Information, Data Protection case, etc
- Not yet due for destruction
- Already past its destruction date
- Is not required for any applicable legal/regulatory reasons or corporate policies
- Already past its destruction date - destroy
- Has no relevant reason for retaining - destroy
- Should be archived
- Superseded (e.g. supplier catalogue) / available on-line - destroy
Process:
- Decide whether confidential or non-confidential and make necessary arrangements with Facilities Manager.
- Arrange prompt collection. Do not leave in non-secure office areas.
- Update your filing system, database, etc with the destruction date. File shredding/waste collection certificates.
- Refer to Dos and Don’ts checklist.
- Complete a Disposal Form.
- Follow RMS User Guide procedure
- Obtain boxes from RMS
- Box up records
- List records on consignment list
- Arrange delivery with RMS
- Refer to Dos and Don’ts checklist and Archiving checklist.
- Follow office procedures for current filing
- Add files to relevant filing system
- Name files accordingly
- Refer to Dos and Don’ts checklist.
Records Management Do’s and Don’ts
‘Active’ Office Records
Do
Ask “is anybody else creating/keeping an identical record?” If so, do not duplicate but decide who keeps/manages the record and apply access authorisation and data sharing protocols.
Decide the most appropriate format for the record i.e. would it be best to create and store electronically in a shared drive rather than in paper format?
Operate an effective filing system, in a secure location with appropriate access controls.
Store records in such a way they are easily identifiable, e.g. by title, client name, ref no, date, etc.
Ensure filing is kept up to date.
Ensure sensitive data is kept secure, is adequately protectively marked and access is strictly limited and controlled.
Periodically assess the necessity of creating/managing/keeping records. Ask yourself “is this necessary”? If not, discontinue or decide alternative methods, e.g. creating electronically.
Ensure you comply with any policies and procedures and record keeping obligations, e.g. The Data Protection Act, Caldicott, etc.
Don’t
Store files in your personal filing system.
Create/manage/keep files that are not necessary.
Name files that are not obvious to others.
Keep duplicate copies.
Keep professional/trade publications, catalogues, etc for longer than necessary, if at all. If they are available on-line, bookmark the page.
Print off copies of documents from the Internet unless absolutely necessary. Ideally save an electronic copy or bookmark the page.
Store records near water pipes, inflammable materials or where there is evidence of rodents or other pests.
Create and retain hybrid records in parallel systems i.e. an electronic and paper version of the same record.
Destruction of Records
Do
Ensure all records have an appropriate retention period and are listed on your Retention Schedule.
Destroy records as soon as they cease to be required.
Operate periodic file housekeeping – destroy records that can be destroyed, keep in office any that are still current and retain/archive any that are ‘dormant’.
Check records are no longer needed before destruction. Ask yourself “is it past its disposal date, do I need to keep it for legal reasons, has the case re-opened, has it been superseded, etc”.
Destroy confidential records by shredding.
Destroy non-confidential records by putting into recycling sacks.
Arrange shredding/recycling in plenty of time.
Complete a Disposal Form, listing destroyed records, for audit purposes.
Authorise destruction of records held by the Records Management Service as soon as you receive notification.
Update your consignment lists, filing lists, databases, etc when records are destroyed.
Consider any possible archival value, i.e. for research purposes. If so, contact the Heritage and Libraries Service on 01823 278805.
Don’t
Destroy records unless you have checked with the Records Manager and/or your Line Manager and ensured there are no specific reasons for further retention.
Keep records for longer than necessary. This will increase storage and management costs and could also result in breach of legislation, such as The Data Protection Act (i.e. keeping personal data for longer than necessary).
Destroy records if they are part of an on-going investigation and are needed for evidence, e.g. Freedom of Information or Data Protection request, legal case, investigation, etc.
Dispose of records in ordinary waste – ensure confidential records are shredded and non-confidential records are put in recycling sacks.
Leave confidential shredding in public areas.
‘Archiving’ of Dormant Records
Do
Undertake periodic archiving of ‘dormant’ records in order to reduce unnecessary on-site office storage.
Ensure you have a Retention Schedule and a relevant Class ID for the type of records you wish to archive. Contact the Records Manager if you require a Retention Schedule or additional Class IDs.
Sort records BEFORE boxing – by name, closure date and/or retention period/Class ID.
Remove paperwork from bulky filing equipment, such as lever arch files, tie bundles of paper together with string, not elastic bands, and clearly label with the file title.
Ensure files of the same title, on the same client etc are put in the same box. Remember to number volumes and indicate number of volumes on the consignment list.
Liaise with you colleagues to arrange ‘archive runs’ so the courier is not making numerous trips to the same office at direct cost to you.
Remember incorrectly consigned records will not be accepted by the Records Management Service. It is vital to get the archiving stages correct as failure will result in you not being able to quickly identify your files and may delay efficient destruction!
Refer to the Archiving Checklist and Records Management Service User Guide for detailed instructions on sending records to the Service.
Don’t
Archive records if retention is not necessary. This will increase storage costs and could result in breach of legislation, such as The Data Protection Act (i.e. keeping personal data for longer than necessary).
Archive records if they are still current, still required on a regular basis or need to be kept in office for a set time after closure.
Under-fill boxes, unless it will make them too heavy to lift or carry.
Over-fill boxes and make them too heavy to lift or carry.
Put any markings other than the consignment and box number on the outside of the box. All boxes should be anonymous to safeguard confidentiality.
Store boxes where they are a risk to health and safety, block escape routes, near water pipes, inflammable materials or where these is evidence of rodents or other pests.