Transferring Records to a Local Place of Deposit

Transcription

1 Standard Operating Procedure 1 (SOP 1) Transferring Records to a Local Place of Deposit Why we have a procedure? The Records Management Code of Practice for Health and Social Care 2016 highlights the need to review records for permanent preservation, this is in line with the Public Records Act specifically The Public Records (Transfer to the Public Record Office) (Transitional and Saving Provisions) Order This procedure is to ensure that staff transfers records appropriately to the Trust s Local Places of Deposit. What overarching policy does the procedure link to? Corporate Record Management Policy Which services of the trust does this apply to? Where is it in operation? Group Inpatients Community Locations Mental Health Services all Learning Disabilities Services all Children and Young People Services all Corporate all Who does the procedure apply to? All staff who undertake review of records once they have reached their retention period. When should the procedure be applied? The procedure is to be applied when reviewing records which require consideration for permanent preservation. The procedure must be followed when transferring records to the Local Places of Deposit. How to carry out this procedure Clarification of Terminology LPOD: Local Place of Deposit The relevant local archiving service, appendix 4 refers, within the Corporate Record Management Policy for a list of all of the Local Places of Deposit within the Black Country. Procedure There are 5 steps to follow in relation to the transfer of records to a LPOD: Transferring Records to a LPOD Page 1 of 5 Version 1.0 November 2016

2 The above steps are to be taken once a record has reached its full retention period as set out by the Records Management Code of Practice and the retention schedule highlights that the record must be reviewed and considered for transfer to a Place of Deposit. Full description of each step is outlined below: Step 1: Appraisal Analyse the records: - Records with retention periods under 20 years: review to see if they hold any value to the Trust or to the general public to maintain for longer than the required timescales. If the records do hold value to be maintained for longer than the minimum retention, the record must be maintained permanent preservation - Records with retention periods of 20 years or more: review to see if they hold value to the Trust or to the general public. If the records do hold value they should be retained for longer than the retention period; the record must be reserved as a permanent preservation Support is available from the LPOD in relation to determining the value of the record. If the analysis of the record concludes that the records are no longer required then you must follow the Standard Operating Procedure for the Destruction of Corporate Record Management. Transferring Records to a LPOD Page 2 of 5 Version 1.0 November 2016

3 Any proposal to transfer records early (before the 20 year transfer point) must be negotiated with the LPOD. It is important to allow sufficient time for these negotiations and to be aware that Places of Deposit can charge for the early transfer and storage of these documents. Step 2: Sensitivity Review Once records have been highlighted for permanent preservation they must undergo a sensitivity review. Reviewing records for sensitivity ensures that records are made available to the public as soon as possible, subject to any exemptions permitted by the Freedom of Information Act Some records may be transferred as temporarily closed to public access if an exemption under the Freedom of Information Act applies, subject to consultation with your Place of Deposit. As part of the review staff must identify and provide information to their approved Place of Deposit on any Freedom of Information (FOI) or Environmental Information Regulation (EIR) exemptions that should be applied and which would restrict access. Step 3: Internal Approval A full list of documents to be transferred to the LPOD is to be produced to include the following information: - Document Name - Document Description - Date of creation - Retention Period - LPOD the document will be transferred to - Any FOI or EIR exemptions which apply - Staff member who completed the review This is to be presented to the Information Governance Steering Group for approval prior to the transfer of the records. Step 4: Preparation for Transfer Contact the LPOD to confirm records that are required for permanent preservation. The LPOD will require confirmation of what information will be transferred; the preferred format of this is usually as follows: If exemptions that apply under FOI or EIR these must be included within the Notes section of the above. Transferring Records to a LPOD Page 3 of 5 Version 1.0 November 2016

4 When listing your records ensure that: - Acronyms and abbreviations should be written out in full unless they are official organisations, names, awards, titles or qualifications e.g. MoJ - If place names are obscure or ambiguous also add the UK county - Capitalisation is used sparingly according to normal English language usage - Ensure all official names and titles are correctly cited Physically prepare the records for transfer. Records must be secured in sealable boxes. The general principles of preparation are: - The securing of loose materials so nothing is lost - The protection of the record (e.g. by new covers/boxes) - The removal of certain potential harmful materials from the record (e.g. metal and plastic) - The isolation of certain vulnerable materials (e.g. photographs) Checklist for preparation Remove metal items including paperclips, bulldog clips, staples which prevent a user from opening the pages and viewing information (normal staples may be retained) Remove any rubber and plastic items, such as elastic bands, plastic wallets, plastic bindings and covers Do not use any form of self-adhesive tape or self-adhesive tag hole reinforcers Do not try to repair records yourself, speak to the LPOD concerning badly damaged records Ensure tags are loose enough for the file to be fully opened at any point. Step 5: Delivery of the Records The secure delivery of the records must be provided by the Trust. The LPOD are able to collect records, however there will be a locally agreed cost to do so. Agreed delivery time is to be arranged with the LPOD, at the point of delivery a receipt is to be requested and a signed delivery note is to be maintained. On arrival to the LPOD the records will be checked against the agreed list (prepared and provided in Step 4) of records to be transferred. Additional Information/ Associated Documents - Corporate Record Management Policy - Corporate Record Management SOP 02 - Destruction of Corporate Records Where do I go for further advice or information? Further advice and guidance is available from the Information Governance Team. In addition to this there is also guidance via the following: - The National Archives; - Records Management Code of Practice for Health and Social Care; - Health and Social Care Information Centre; Transferring Records to a LPOD Page 4 of 5 Version 1.0 November 2016

5 Training Staff may receive training in relation to this procedure, where it is identified in their appraisal as part of the specific development needs for their role and responsibilities. Please refer to the Trust s Mandatory & Risk Management Training Needs Analysis for further details on training requirements, target audiences and update frequencies Monitoring / Review of this Procedure In the event of planned change in the process(es) described within this document or an incident involving the described process(es) within the review cycle, this SOP will be reviewed and revised as necessary to maintain its accuracy and effectiveness. Equality Impact Assessment Please refer to the Overarching Policy Data Protection Act 1998 and Freedom of Information Act 2000 Please refer to overarching policy Standard Operating Procedure Details Unique Identifier for this SOP is State if SOP is New or Revised BCPFT-IG-SOP-04-1 New Policy Category Executive Director whose portfolio this SOP comes under Policy Lead/Author Job titles only Committee/Group Responsible for Approval of this SOP Month/year consultation process completed Corporate Company Secretary Information Governance Manager Information Governance Steering Group August 2016 Month/year SOP was approved September 2016 Next review due November 2019 Disclosure Status B can be disclosed to patients and the public Review and Amendment History Version Date Description of Change 1.0 Nov 2016 New SOP for BCPFT to support Corporate Record Management Policy Transferring Records to a LPOD Page 5 of 5 Version 1.0 November 2016