GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULT SERVICES AND CHILDREN’S SERVICES CROSS-DEPARTMENTAL
PROCEDURE NO:
06/07
Records Management and Data Protection Act 1998 policy and procedure
DATE:
February 2007
EFFECTIVE
DATE:
February 2007
CATEGORY:
General
KEYWORDS:
Records Management and Data Protection
ISSUED BY:
Assistant Director, Business and Performance Management
CONTACT:
Chris Hardie – IS Assistant Operations Manager - Records
PROCEDURES
CANCELLED
OR AMENDED:
24/91 Case Recording and Access to Information and
24/00 Records Management and Data Protection Policy are cancelled
REMARKS:
SIGNED:
Felicity Roe
Michael Lee
DESIGNATION:
Assistant Director, Performance and Resources (Children’s Services)
Assistant Director, Business and Performance Management (Adult
Services)
YOU SHOULD ENSURE THAT:-

You read, understand and, where appropriate, act on this information

All people in your workplace who need to know see this procedure

This document is available in a place to which all staff members in your
workplace have access
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
PURPOSE
This document provides guidance in the management of all Adult Services & Children’s
Services records both electronic and manual so that the Department complies with the
requirements of the Data Protection Act 1998. There is also guidance for the Departments
recording standards, the management of recording practice, confidentiality and best practice
in the collection, recording, processing and sharing of service users information.
SCOPE
The contents of this document apply to all staff, including managers, who are involved in the
recording of service users information.
POLICY
All personal information held in Adult Services & Children’s Services will be kept in
accordance with the law and central government guidance and in accordance with the
policies contained in this document.
The Adult Services & Children’s Services policy framework expresses the values and
principles underpinning recording practice and ensures that the Data Protection Act is fully
implemented in the way the Departments record and shares information.
Adult Services & Children’s Services IT Strategies need to be explicitly linked with case
recording policies and procedures.
An active policy will operate throughout Adult Services & Children’s Services for informing
Users of the purposes for which information about them is collected.
Wherever possible Users will be told how information is to be used before they are asked to
provide it.
Advice on how information is used will be presented in a convenient form and must be
available both for general purposes and before a particular care plan begins.
Before collecting personal information staff will introduce themselves by name and offer
proof of identity and authorisation.
REFERENCES TO LEGAL, CENTRAL GOVERNMENT AND OTHER EXTERNAL
DOCUMENTS, INCLUDING RESEARCH
Adoption and Children Act 2002
Adoption Agency regulations 1983 (still in force in some respects)
Adoption Agency Regulations 2005
Arrangement for Placement of Children (General) Regulations 1991
Association of Directors of Social Services, Draft Code of Practice Autumn 1999
Carers (Recognition and Services) Act 1995
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Children Act 2004
Every Child Matters
Children’s Homes Regulations 1991 (no longer current but still referred to)
Choosing with Care – Report of the Committee of enquiry into selection, development and
management of staff in Children’s Homes 1992 DOH
Computer Misuse Act 1990
Copyright, Designs and Patents Act 1988
Data Protection Act 1998
The Data Protection Act Explained, James Mullock and Piers Leigh – Pollitt
Data Protection Act 1998, Guidance to Social Services March 2000
Local Authority Circular 88 (17) Personal Social Services Confidentiality of Information
Mental Health Act 1983
National Health and Community Care Act 1990
Protecting and Using Patient Information, NHS Executive 1999
Recording with Care, Social Services Inspectorate 1999
Care Standards Act 2000
Care Homes Regulations and National Minimum Standards
The boarding-out of Children (Foster Placement) Regulations 1988
HAMPSHIRE COUNTY COUNCIL AND ADULT AND CHILDREN’S SERVICES
DEPARTMENT REFERENCES
Corporate e-mail, Internet, & Intranet Monitoring Policy
Joint Approved List of Domiciliary (Personal) Care Providers Terms & Contract Conditions
Safeguarding Our Children
The policy and procedural requirements of Hampshire, Isle of Wight,
Portsmouth and Southampton Child Protection Committees 2004
http://www.4lscb.org/userimages/4ACPCProceduresApril04.pdf
Mental Health Practice Handbook 1983
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
DEFINITIONS
ACCESS
ARCHIVE
CULLING
DATA PROTECTION
COORDINATOR
DATA SUBJECT
Ability to use different systems. Access is only
granted by authorised personnel to staff who will need
to access systems regularly as part of their role.
To copy files to a long term storage medium when
these are no longer required for regular use, but
should not be deleted.
Destruction of electronic or manual records according
to retention and deletion criteria.
Responsible for policy and procedures relating to the
security and handling of information and checking
compliance with the Data Protection Act.
Any individual who is the subject of personal data
DATA USER
Any member of staff authorised to process or use
personal data held by the department
ISO
Information Services Officer – Support, Training,
KEYTEAM
A team linked to a budget. A User file in SWIFT is
placed in a Key team which will relate to the
team/budget which will provide the bulk of the
services for that User. (Eg. Havant Older Persons
Team).
PC/PERSONAL COMPUTER A computer, comprising screen, keyboard and local
processor, which is able by virtue of additional
programs, to process data locally without using the
facilities of the network
PERSONAL DATA
RMO
PROFILE/GROUP
RESTORE
SYSTEM USER
USER
USER/USER FILE
LOGON ID/ Hantsweb ID
VIRUS
WIN TERM
Any information from which a living individual may be
identified, including, for example, any expression of
opinion or data stored on a word processing file, or in
a manual file for future use or reference.
Records Management Officer
Staff will be allocated a user profile which describes
their role, work base type. the group defines the
levels and types of information they can access and
document restrictions which should be applied
If a electronic file is deleted in error IT services must
be contacted for a restore
A member of staff who uses our systems
A member of the public for whom we are providing
services
The computer and paper file which contains the
complete User/User record
A computer user’s code name identity, used to gain
access to HCC’s computer network systems.
Computer programs with the ability to corrupt other
programs and data
A computer, comprising a screen and keyboard,
which can only process data if connected to the
central network via communication links.
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RECORDS MANAGEMENT &
DATA PROTECTION
ROLES
Head of Facilities and Infrastructure, IS Operations Manager/Data Protection
Coordinator
It is the responsibility of the Head of Facilities and Infrastructure and IS Operations
Manager/Data Protection Coordinator to ensure that in Adult Services & Children’s
Services Department there is adequate computer security and compliance with the relevant
legislation.
It is the responsibility of the IS Operations Manager/Data Protection Coordinator to
provide security procedures so that system users of computer facilities are aware of their
responsibilities. These procedures will be reviewed in order to respond to changes in
legislation.
Lead Service Managers and Assistant Directors must ensure that these guidelines are
understood and followed by all staff using computer systems and facilities within their
geographical area/section.
Central Access Administrators, have a responsibility to monitor and respond to requests
and to apply the established policy and procedures for access grants.
Human Resources and Line Managers have a responsibility to send prompt and
appropriate notification about starters and to ensure that access is removed when it is no
longer required or a member of staff leaves.
All Managers must ensure that these guidelines are understood and followed by all staff
using computer systems.
All staff using computer facilities and systems must be trained in their use. It is the
responsibility of the person authorising access to ensure that adequate provision for training
is made.
Adult Services & Children’s Services Team Managers and Line Managers need to
demonstrate a commitment to case recording as an important part of the service to users
and carers and to ensure that policy and procedures are established. The commitment
should be explicit and reflected in recruitment, induction, training, performance appraisal,
auditing, monitoring and review.
All staff using computer facilities and systems must be trained in their use. It is the
responsibility of the person authorising access to ensure that adequate provision for training
is made.
Key Workers and Social Workers will abide by the principles outlined in this document and
will:
- advise their Users on the ways in which User information is used and shared
- reaffirm the principles of confidentiality
- proactively share the User’s records with the User
- maintain the standard of data recording
- ensure that User information is safe and secure at all times
For every open case there should be a named Key worker who is responsible for ensuring
that the paper and electronic User files are maintained and that information is promptly
recorded.
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DATA PROTECTION
The Key Worker is responsible for the case record and is accountable to his or her line
manager for ensuring that the management and quality of that record is in line with the
standards set out in this document.
The RMO will ensure that Departmental records management policy and guidance are
consistently applied to all records in an Area Office and its managed units and will
particularly focus on the management of manual records and ensure that they can be
located and retrieved within the prescribed timescales, that they conform to the specified file
structure and are stored securely.
All Staff working for Adult Services & Children’s Services who have access to information
about individual Users have a duty of confidence. The individual’s right to confidentiality
must be respected. Personal information must be treated with care and this means not
disclosing it to people who do not need to know. In normal circumstances the consent of the
consumer will always be required for the disclosure of information to third parties. Subjects
and donors must be satisfied that information supplied for social work purposes will not
normally be disclosed without their permission.
All staff are required to be familiar with the law and this policy and procedure guidance and
will be subject to supervision which will include the review of the quality of recording against
standards identified in this document.
All staff will comply with corporate standards for the use of e-mail and the Internet. These
standards can be found in Hantsweb. (See also Appendices for details)
All Staff are responsible for ensuring that records are kept up-to-date and the maintenance
of records is a high priority for all teams and units.
All Staff who receive an enquiry from the media about a service user related matter must
refer the enquirer to the Adult Services & Children’s Services Press Officer.
All Staff using computer and/or manual records must be aware of and comply with :The principles of the Data Protection Act 1998
The specific requirements of Hampshire County Council and HCC Adult Services &
Children’s Services Departments.
Staff using Electronic information systems must be aware of and comply with:The principles of the Computer Misuse Act 1990
The principles of the Copyright
Designs and Patents Act 1988
AUTHORITY TO VARY THE PROCEDURE
Assistant Director, Business and Performance Management
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
PROCEDURE
Contents
1.
INTRODUCTION
2.
CONFIDENTIALITY
3.
PROCESSING OF USER’S INFORMATION
4.
SHARING OF USER’S INFORMATION
5.
SUBJECT ACCESS
6.
RECORDING PRACTICE GUIDANCE
7.
FILE STRUCTURE
8.
RETENTION OF RECORDS
9.
STORAGE AND SECURITY
10.
ACCESS TO SYSTEMS
11.
INFORMATION SHARING WITH OTHER AGENCIES
12.
ROLES AND RESPONSIBILITIES
13.
DATA QUALITY STANDARDS
14.
TRAINING AND AWARENESS
15.
MONITORING AND ENFORCEMENT
16.
GLOSSARY
APPENDICES
Guidance for Outlook Users (Section 12.3.6)
Ethnic recording policy (Section 6.2)
Processes for set up of userids and system access (Section 10.4)
Guidelines on the use of the Internet and e-mail (Section 12.3.6)
Copy of declaration which all staff sign (Section 12.3.4)
Courses supporting effective records management (Section 14)
Full list of relevant legislation
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DATA PROTECTION
List of leaflets, guides, system manuals and who gets them
File Structures (Section 7.1)
Information Sharing Protocols (11.4.1)
Retention Schedule
REFERENCES
The Data Protection Act Explained. (Mullock James Leigh-Pollitt Piers) HMSO 1999
Data Protection Act 1998 Guidance to Social Services. Department of Health. March 2000
Protecting and Using Patient Information. NHS Executive 1999
Recording with Care. SSI 1999
1.
INTRODUCTION
This document is for use by all Hampshire County Council Adult Services & Children’s
Services Staff. The document outlines the principles of the Data Protection Act 1998 as they
apply to Adult Services & Children’s Services and gives guidance on processes for
application of the principles both internally and in our work with Service Users.
1.1
Collecting Information From Service Users
All personal information held in Adult Services & Children’s Services will be kept in
accordance with the law and central government guidance and in accordance with the policies
contained in this document. (A list of the relevant legislation can be found in Section 12).
The Adult Services & Children’s Services policy framework expresses the values and
principles underpinning recording practice and ensures that the Data Protection Act is fully
implemented in the way the department records, processes and shares information.
Adult Services & Children’s Services IT Strategies need to be explicitly linked with case
recording policies and procedures.
In addition to a policy framework that expresses the values and principles underpinning
recording practice, staff will receive guidance on best practice in case recording Adult
Services & Children’s Services will ensure that training, awareness and guidance is readily
available.
An active policy will operate throughout the Adult Services & Children’s Services for informing
Users of the purposes for which information about them is collected. All new Users will receive
a copy of ‘Your Records’ leaflet.
Wherever possible Users will be told how information is to be used before they are asked to
provide it.
Advice on how information is used will be presented in a convenient form and must be
available both for general purposes and before a particular care plan begins.
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DATA PROTECTION
Before collecting personal information staff will introduce themselves by name and offer proof
of identity and authorisation.
1.2
Sharing with other agencies
Adult Services & Children’s Services in conjunction with Health Authorities and other agencies
is actively working towards the provision of a “seamless service” when caring for the
user/patient. This necessitates the sharing of key information.
Adult Services & Children’s Services will ensure that effective policies and procedures are in
place to safeguard User information and the User’s right to confidentiality, whilst facilitating the
best possible service in terms of health and social care.
Users will be advised about organisations to which information may need to be passed and
the reasons for this. Users will be made aware that staff from other agencies sometimes
need to have strictly controlled access to information and that any disclosure of personal
information will take place in accordance with established policy and procedures.
A User’s consent for the sharing of personal information with other agencies will be sought
wherever possible.
Users will be advised of the social care and health implications if they withhold consent to
share with other agencies.
1.3
Service Users’ access to records
The User will have the right to request access to all parts of the User file, electronic and
manual.
The User will not have the right to know what is recorded about someone else and in
circumstances where disclosure of the data requested is not possible without disclosing
information about another person, the request need not be complied with unless the other
person has given consent to the disclosure.
For further information on Users’ access to their records, see Section 5 of this document.
Adult Services & Children’s Services will promote the practice of regular sharing of the User’s
record by the Key Worker with the User throughout the period of service delivery. The User
should rarely need to make a special request.
1.4
Security
Ensuring the security and accuracy of records and the information held in them is the
responsibility of staff at all levels. This includes arrangements for the secure storage and
disposal of all information about the user, both paper and electronic.
Care will be taken that unintentional breaches of confidence do not occur, for example by
leaving files unattended in an open office, or a computer logged on and unattended.
Computer security measures are in place to safeguard information from misuse and staff at
all levels will be vigilant at all times to prevent breaches of security.
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GENERAL
1.5
RECORDS MANAGEMENT &
DATA PROTECTION
Quality of information
Information recorded on a User’s file will always be accurate and timely. It will always be
written with the aim of sharing with the User and so information will be complete, concise,
clear and accurately expressed.
Where the User identifies an inaccuracy in the record this should be rectified immediately.
Where the User and the Key Worker disagree as to the accuracy of an item in the record, this
should be noted in the file.
During the provision of service to the User, different Key Workers may take over the file. The
quality of the transferred record will enable the continued provision of a consistent level of
service.
1.6
Staff Training
All staff will have an understanding of the security and confidentiality issues and the legal
requirements as well as data quality and recording issues. This will be facilitated through:






Induction training and signing of the relevant Form of Undertaking to abide by the rules of
the Data (Appendix 5)
Protection Act and Departmental Policy.
Refresher training
Guidance notes and bulletins
Monitoring by line manager at supervision
Audits which identify issues to be tackled through training and other measures.
2.
CONFIDENTIALITY
2.1
The Rights of the Service User
Users have the right to expect that information about them will be treated as confidential.
Adult Services & Children’s Services staff cannot designate a record confidential in order to
prevent a user from seeing their record. See Section 5 for further information.
2.2
The Responsibilities of Staff Working with Information
Everyone working for, or with Adult Services & Children’s Services who records, handles,
stores, or otherwise comes across information has a duty of confidence to Users, to Adult
Services & Children’s Services and to Hampshire County Council, our employer.
Other individuals and agencies to whom information is passed legitimately may use it only as
authorised for specific purposes and possibly subject to particular conditions.
In the event of unauthorised disclosure of information by any member of Adult Services &
Children’s Services staff, disciplinary action will be considered.
Misuse of information will result in disciplinary action and could lead to prosecution under the
Computer Misuse Act.
It is expected that all staff who have access to information held by Adult Services & Children’s
Services will abide by the following principles.
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i)
The aimless scanning of personal records, or browsing through files is forbidden
ii)
Use of personal data should be related solely to work procedures
iii)
Do not mislead others about the reasons why they are providing information, how it will
be held and with whom it will be shared.
iv)
The passing of information from the system to any person not entitled to such
information is forbidden. Knowingly making available information from the systems to
such people may result in disciplinary proceedings.
v)
All enquiries from the media about user related matters must be referred to the Adult
Services & Children’s Services Press Officer.
vi)
Confidential information should not be released as the result of a telephone enquiry.
The identity of the caller and the telephone number should be established and an offer
made to call them back. The authenticity of the caller can then be checked by
reference to the telephone number and it can be verified that they are entitled to the
information before calling back.
vii)
It may happen that a member of staff becomes aware of information relating to people
known to him/her personally. The confidentiality of this information should be
respected and not divulged unless required in the course of their work. In all cases of
doubt, a supervisor should be contacted.
viii)
All data must be as accurate as possible: regular verification of data and culling of
obsolete records must be carried out on all records to ensure that data is correct,
complete, up-to-date and not held for longer than necessary.
ix)
Only hold data which is relevant for work purposes. Do not elaborate!
x)
Adequate steps must be taken to safeguard data from loss or corruption.
Sensitive Personal Information should not usually be shared without the explicit consent of the
user. It can, however, be shared with the police to help them investigate a crime, or prosecute.
(LAC 88(17)).
Sensitive Personal Information is:








the racial or ethnic origin of the data subject
political opinions
religious beliefs or other beliefs of a similar nature
membership of a trade union
physical or mental health or condition
sexual life
commission or alleged commission of any offence
any proceedings for any offence committed or alleged to have been committed
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GENERAL
2.3
RECORDS MANAGEMENT &
DATA PROTECTION
Confidentiality and Councillors
Personal information about users is exempt information under the Local Government ( Access
to information ) Act 1985 and is therefore not automatically available to any Councillor just
because it relates to business to be transacted in a meeting of the Council or a Committee.
When a Councillor, who is a member of the Adult Services/Children’s Services Policy Review
Committee wishes to exercise the common law right to inspect information in the possession
of the authority it must be necessary for the proper performance of their duties. In which case
the Director of Adult Services or Children’s Services will be informed. It is good practice for the
user whose information is being requested, to be consulted and give their permission to
disclose the information to the Councillor.
When the information requested includes personal information received from third parties, the
consent of that third party will be sought before disclosure. Whatever the source of the
information, including information from Health Professionals, the advice from the Association
of Directors of Adult Services or Children’s Services ( Draft Code of Practice for DPA 1999) is
that the right of the Councillor will normally be expected to prevail.
The Director of Adult Services or Children’s Services will make arrangements for the
disclosure of personal information in the possession of the Department if the authority decides
that a Councillor who is not a member of the Adult Services/Children’s Services Policy Review
Committee needs disclosure to enable them to carry out their duties.
Elected members who, in the performance of their constituency duties, request access to
personal information, or the service provided, on behalf of a constituent who is a user of the
Department’s services, will be asked to provide proof of the user’s consent to disclosure.
(For further information see Section 4)
3.
PROCESSING OF PERSONAL DATA
3.1
Policy
An active policy will operate throughout Adult Services & Children’s Services for informing
Users of the purposes for which information about them is collected.
Wherever possible Users will be told how information is to be used before they are asked to
provide it and will be given a copy of the “Your Records” booklet.
Advice on how information is used will be presented in a convenient form and must be
available both for general purposes and before a particular care plan begins.
Users should be advised that the Data Controller is Hampshire County Council.
Users should also be advised at the earliest possible stage that we sometimes share
information with other agencies and further information about this is given in the “Recording
Practice Guidance” section of this document.
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3.2
Advice that should be given to the User when collecting information
3.2.1
How we use and protect personal information
Users should be advised that we will collect information from them which will be recorded on
their file. There will be a computer file and some information on a paper file as well.
The information written on the files allows us to provide the User with care services
appropriate to their need.
Service Users should be told that all staff in Adult Services & Children’s Services have a duty
of confidentiality and there are strict rules about who should have access to the record and
how they should work with it.
3.2.2
Users’ Access to Their Files
The User should be advised that he/she has the right to see and comment on the information
recorded about them. The User should be aware that they can ask the Social Worker or Key
Worker to give them a copy of the Assessment, Care Plan, Financial Assessment and
Reviews at any time.
The Key Worker, or Social Worker should proactively share the record with the User at each
meeting so that the User does not have to ask for this.
3.2.3
Collecting the basic details
The User will be advised that we first need to collect some very basic information, (including
name, address, date of birth, next of kin, name of GP).
We also need information about any other departments or organisations currently giving them
help. This could be very important in giving them the appropriate kind of help.
We also ask for information about ethnic origin, religion and the language spoken in the home.
Before the User supplies this information it will be made clear that we ask this so that we can
ensure that appropriate services and assistance are provided. For instance, it may be that
interpreters are required to assist, or there are special dietary requirements which should be
considered when providing Residential, Day, or Meals services. The User must give their
explicit consent for us to share this information with other agencies.
3.2.4
Checking the accuracy of information
At the earliest opportunity the accuracy of the information supplied will be checked with the
User. (It is recognised that in many cases, basic details may have been given at first contact
by someone other than the User).
Checking of the record with the User will continue at each stage of contact.
The User will be aware that if any of the record is factually inaccurate they can ask for it to be
corrected. If it is corrected, then agencies with whom this information has been shared should
be advised.
To enable this, any instances of sharing information with other agencies should be recorded
on the User File.
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The User will be aware that if they disagree with anything that is recorded, then they can ask
for their views and comments to be added to the record.
3.2.5
Collecting information at each stage
The User will be advised that details will be recorded about the services arranged, what they
are and who is providing them and any changes that might be made.
The User will be advised that details of subsequent meetings will also be recorded.
3.2.6
Complaints
The User will be given information on the procedure for making complaints. A clear
distinction should be made between the routine process of checking accuracy of a record and
correcting it where necessary and the formal complaints procedure which can be initiated
when the User is dissatisfied with the service.
4.
SHARING PERSONAL INFORMATION WITH OTHER AGENCIES
4.1
Advice that should be given to the User
Where other agencies and organisations might be involved in the care of the User, Adult
Services & Children’s Services may share information in order to ensure that a complete and
consistent service is provided.
It helps all agencies involved in the care of the User to respond quickly to needs and the User
does not have to repeatedly give the same information.
This information will be shared with other organisations only for particular purposes and the
staff in those organisations will be bound by the same rules about confidentiality as our own
staff.
Procedures are in place to ensure that organisations we share with have the same levels of
security and safeguards as Adult Services & Children’s Services. Children’s Services have an
Information Sharing Protocol Appendix 10
4.2
Principles for Sharing
The main record should state what has been shared with another agency.
4.2.1
Consent to Share
The Key Worker and staff of other agencies involved in the User’s care have a responsibility
for informing a provider of information of the potential need to share information and why, with
other members of the User’s Adult Services or Children’s Services and/or Healthcare team.
Wherever possible the User’s explicit and valid consent must be obtained before disclosure of
personal information is made.
Sensitive Personal Information should not be shared without the explicit consent of the User.
It can, however, be shared with the police to help them investigate a crime, or prosecute (LAC
88(17)).
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Sensitive Personal Information is:








the racial or ethnic origin of the data subject
political opinions
religious beliefs or other beliefs of a similar nature
membership of a trade union
physical or mental health or condition
sexual life
commission or alleged commission of any offence
any proceedings for any offence committed or alleged to have been committed
4.2.2
Restriction of Purpose
Information given or obtained for one purpose should not be used for a different purpose
without the express or implied authorisation of the provider of the information. When wider
disclosure of information is being considered the provider should always refer back to the
information source for authorisation.
4.2.3
Consent and Mental Incapacity
Whilst every effort should be made to obtain a User’s views, where an individual is unable to
give informed consent, such consultations should be recorded in writing.
4.2.4
Disclosure without Consent
Exceptionally some information may be shared without prior consultation. In such cases the
reasons should be recorded for deciding not to observe the duty of confidence we owe to the
person who is the subject of the information. This should be recorded in a profile note on the
User’s electronic record.
The Adult Services & Children’s Services does not need to inform the data subject that
information about him/her has been disclosed to the Police, (or other organisation), when this
has been done in order to assist the prevention or detection of a crime.
4.2.5
Refusal, or absence of consent to disclosure:
A person may positively refuse to give consent to disclosure or consent may be absent. A
person’s right to confidentiality is not absolute and may be overridden where there is evidence
that sharing information is necessary in exceptional cases – because of:







the power of the courts
the power of certain tribunals
as a requirement of legislation eg. Statutory assessment under the Mental Health Act 1983
the need to prevent serious crime
the health of the person
public health and welfare concerns
effective service delivery within the bounds of duty and care
There may be circumstances where Officers of the Court are appointed to look at records or
there is a need for the Police or other Departments of the County Council to have access to a
record in order to prevent or detect a crime. This may only be done within the rules set out in
Data Protection Law. In these circumstances the record holder should consult fully with their
line manager before giving access.
15
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RECORDS MANAGEMENT &
DATA PROTECTION
Before releasing information to Officers of the Court, or tribunals, legal advice should always
be sought.
Where a witness summons is received, which requests disclosure of relevant Adult Services &
Children’s Services files, this should be faxed through to the legal section immediately.
4.2.6
Conditions Regarding Disclosure
Any information disclosed should be:





clear regarding the nature of the problem and purpose of sharing information
based on fact, not supposition or rumour
restricted to those with a legitimate need to know
strictly limited to the needs of the situation at that time
recorded in writing with reasons stated.
NB. Where consent has not been given, extra care should be taken in recording reasons,
decisions and actions taken.
Where disclosure of information without a person’s consent has been considered and a
decision has been taken not to disclose, the decision should be recorded in writing with
reasons given.
4.3
Procedures for Obtaining Consent to Share
At the earliest possible stage of contact the User will be given the permission to share form
which lists the organisations we most commonly share with and will be asked to sign that they
consent.
Whenever information is shared with another agency this will be recorded on the User file.
Where consent is withheld, the User should be made aware of the implications for their health
and social care and the fact that consent is withheld should be recorded on the computer file.
Should an emergency arise and information is shared with another organisation to safeguard
the User, or a third party and the User has not consented to sharing, then this will be recorded
on the file.
At each Review the Key Worker should re-check the User’s consent.
4.4
Sharing information with unpaid carers
Unpaid carers need to be given general information about the services provided to help them
in their role. They need to be informed about their rights under the Carers ( Recognition and
Services ) Act 1995 to an assessment of their needs.
It is good practice, at the earliest opportunity, to discuss with the user what confidentiality
means in the context of their relationship with their carer and record the users’ views,
particularly any statements about what information may not be shared with the carer. As with
sharing information with other partners it needs to be emphasised only the information
necessary to support the situation should be shared including the identification of any risks to
the user or carer.
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DATA PROTECTION
It will be necessary to have a similar discussion with the carer about confidentiality and what
information the user is willing to share. Any comments made by the carer relevant to
confidentiality need to be recorded.
Where the carer is also the Nearest Relative as defined in the Mental Health Act 1983 it is still
good practice to seek the permission of the user before approaching the Nearest Relative. If
permission is refused the Approved Social Workers are supported by the legislation to seek
information and the Nearest Relative’s views.
4.5
Sharing users’ information with external providers of domiciliary care
Personal information shared between Adult Services & Children’s Services staff and providers
is no less confidential because it is shared. In sharing information all concerned take
responsibility for preserving the principle of confidentiality.
Confidentiality is covered in Hampshire County Council’s terms of accreditation and contract
conditions, Hampshire County Council, for providers in Condition 15. Providers also have the
same responsibilities as we do under the Data Protection Act 1998. Therefore providers will
need to provide users with information which explains what is recorded, users rights etc.
In exceptional circumstances where there is concern about the need to share users’ sensitive
information or there are allegations of abuse. It would be good practice for the Key Worker to
discuss the issues with the provider and consider whether, when the contract ends, the
information needs to be recovered to preserve confidentiality.
We will supply only the information about the user necessary for the Provider to meet the
contract.

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





4.6
The information may only be used by the Provider to carry out the contract.
This will include the name and address of the user.
A copy of the care plan.
Details of the service requested.
The information about risks to the user if tasks are not completed.
The information about potential risks to the provider when performing tasks for the user.
The names and telephone numbers of other people that will be needed carry out the
contract.
A contingency plan to be followed in emergencies.
Sharing users’ information with independent residential home providers
Personal information shared between Adult Services & Children’s Services staff and providers
is no less confidential because it is shared. In sharing information all concerned take
responsibility for preserving the principle of confidentiality.
Confidentiality is covered in the terms of accreditation and conditions of contract, Hampshire
County Council, of providers in condition 18.
There are also legal requirements, under the Registered Homes Act 1984, for the registered
person to comply with in relation to the information, which must be kept, and the privacy of
individual records.
In exceptional circumstances where there is concern about the need to share users’ sensitive
information or there are allegations of abuse. It would be good practice for the Key Worker to
discuss the issues with the provider and consider whether, when the contract ends, the
information needs to be recovered to preserve confidentiality.
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RECORDS MANAGEMENT &
DATA PROTECTION
We will routinely share the following information about the user.




4.7
The name, address, date of birth, marital status of the resident and whether she/he is
subject to a court order or other process.
The name, address, and telephone number of the resident’s next of kin or any other
person authorised to act on her/his behalf.
The name and address of the resident’s registered medical practitioner and of the Key
Worker whose duty it is to supervise the welfare of that person.
If the resident is an adult and is subject to the Guardianship of Adult Services or Children’s
Services the name of the Key Worker who will to supervise the welfare of the resident.
Aggregated information
Aggregated information is vital for the purposes of management, research and joint working.
However, aggregating selective information about a small number of Users may not always
safeguard confidentiality. Those with control of the information must make a judgement as to
the point at which aggregated material on its own cannot be regarded as personal and
identifiable.
5.
SUBJECT ACCESS
This section covers the guidance on how to give users access to their personal information
held on their record, this includes all paper files and all information stored electronically.
Please note that there is a separate policy for access to Adoption records.
5.1
Equality of opportunity
One of the best ways of providing equal opportunities for users is by behaving consistently
when giving a service. For the purposes of this guidance this will mean ensuring that every
user is informed about the Adult Services or Children’s Services information sharing policy.
Not just by handing out information but by offering an explanation appropriate to the users
understanding. Users need to be informed that there are advocacy services to assist them in
their communication with the Department, for example, the Citizens Advice Bureau. It is
essential to ensure that every user is actively involved in the recording process from the
beginning of their contact with Adult Services & Children’s Services and until the work is
complete.
When English is not the first language of the user, it will be necessary to have copies of the
records translated into the appropriate language when the records are to be shared with
users.
Contact the Race Equality Adviser for guidance on finding and arranging translation.
Users with sight loss who request access to records should be offered the following choices.
Copies of records in large print, to have their records read verbatim by the Key Worker or
transposed into Braille for Braille readers. For advice about Braille contact the Disability
Adviser.
http://www.hants.gov.uk/equalities/
Formal access to a users records
Whilst it should be the norm that records should be routinely shared with users there will
nonetheless be formal requests for access to case files. The record to be prepared will be
complete and include all paper files and information stored electronically. The record should
not be tampered with or altered in any way.
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DATA PROTECTION
The user should be advised to complete a CR11 form (Subject Access Request Form) which
should be addressed to the Subject Access Team, Adults & Children’s Services, 4th Floor,
Nuance Global House, Southampton Road, Eastleigh, SO50 5ZF.
The application should contain enough information about the Data Subject to confirm their
identity and locate their records.
The Subject Access Request Team will notify the Key Worker on open cases that a validated
request has been received and will liaise with the User and Key Worker throughout the
processing of the application.
For closed cases the relevant Reception and Assessment Team will be notified that a
validated subject access request has been received at which point the case should be
allocated to a Key Worker to support the Subject Assess Team with the processing of the
request.
For a request to see Adoption records the access to Adoption records procedure will need to
be followed.
If we do not hold records about the Data Subject the Subject Access Request Team should
write and inform the requester within 5 working days a record should be placed on SWIFT and
a copy of the letter placed on the User record.
When we do hold information the requester should be informed in writing that we are
processing their request within 5 working days.
The letter should contain a description of the personal information held, why we are
processing the information and if it has been or will be disclosed to anyone else.
From the date the validated request is received Adult Services & Children's Services has 40
calendar days in which to arrange for the user to look at their records.
The user has the right to see all the personal information held about them by Hampshire
County Council not affected by exemptions or 3rd party restrictions. Which are:






Information that is held that relates to criminal offences or is being used for the detection
or prevention of crime.
Information that is disclosed to another organisation to assist with the above eg the police.
Information received from an organisation that is using the information to assist with the
above.
If the disclosure of the information would prejudice the outcome of any of the above.
If the information is being used to investigate allegations of fraud involving public funding.
If the disclosure of information held is likely to prejudice the carrying out of social work by
reason of the fact that serious harm to the physical or mental health or condition of the
user or another person. This final exemption does apply to the safety of all employees.
It is important to note that the above exemptions are only to be used in exceptional
circumstances and where the serious harm is demonstrable. Each case should be considered
individually and legal advice sought.
A user does not have the right to see information recorded about anyone else or information
given by anyone else other than Hampshire County Council employees.
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RECORDS MANAGEMENT &
DATA PROTECTION
The source of third party information needs to be identified and permission to share this data
with the user should be obtained if the User requests 3rd party information. If the third party
withholds consent an explanation must be given to the user.
Where records hold information about a third party permission to share should usually be
obtained.
There may be circumstances where it is reasonable not to obtain permission, for example,
where the third party is an alleged abuser of the user.
The third party has 40 days in which to respond. Where it is not possible to seek consent or
consent is withheld as much information as possible should be shared without revealing the
identity of the third party.
One copy of the users’ records will be made available at the users’ request. Any further copies
that are requested will be charged for at the current rate for photocopying to staff members.
Where possible disclosure should be made in person with social work/care management
support.
5.3
Appeals against a decision not to allow access to a Users’ record
When a request to give access to a Users’ records is refused the requester must be informed
of the Complaints procedure. The first complaint is to the Director of Adult Services or
Children’s Services.
Requesters must also be advised how to contact the Data Protection Commissioner or make
an application to a Court for a decision.
5.4
Access to deceased Users’ records
The Data Protection Act 1998 does not cover the information held about deceased users.
However, information about a deceased user must still considered as confidential under the
Common Law of Confidentiality and treated in the same way as if the person was living.
When there are requests to have access to a deceased Users’ records the following will be
necessary.
The request must be in writing to the Subject Access Request Team, Adult & Children’s
Services, 4th Floor, Nuance Global House, Southampton Road, Eastleigh, SO50 5ZF and the
letter should contain sufficient information to identify the User’s records.
Before granting access it will be necessary to establish the nature of the relationship between
the requester and the deceased. The applicant must provide evidence that he/she had Power
of Attorney or is an Executor of the will of the deceased person.
The requester must be able to demonstrate that it is necessary for the requester to have
access to the record.
Evidence of the relationship should be looked for in the case record.
When the person requesting access to the case record was involved in providing information
for the records this must be considered when reaching a decision about access.
The decision to disclose must take into account all the circumstances, be reasonable and be
in the best interests of the deceased User.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
The Subject Access Request Team will seek professional advice to reach the decision as to
whether to disclose or not.
If the request to have access to the user’s records is refused, the refusal must be in writing
informing the requester of the grounds for the refusal.
5.5
Formal access to a Child’/ Young Persons’ records
A formal request to access to a child’s/young person’s record should be made using the CR11
application form and the validation process will be carried out by the Subject Access Request
Team.
The right of access is available to young people under the age of eighteen years if it can be
demonstrated that they understand what it means to exercise this right. The maturity and the
degree of intelligence and understanding need to be taken into account not just the age of the
young person. A person with parental responsibility may make the request on behalf of the
young person, if it can be demonstrated that the young person lacks the capacity to make the
request, or has the capacity to authorise, or refuse to authorise, the person to make the
request.
The Subject Access Request Team will liaise with the appropriate Service Manager & Key
worker who will make the decision for/or on behalf of the young person. When arriving at this
decision consideration will need to be given to whether the granting of access is in the best
interests of the young person and/or likely to result in serious harm to the young person or
others. If this is likely it is reasonable to refuse access.
If the request to allow access to the User’s records is refused, The Service Manager must
advise the Subject Access Request Team of their decision, record the reasons for refusal to
disclose the whole record or key documents. The decision must be sent in writing to the
requester outlining the grounds for the refusal.
5.6
Formal access to a Child’s/ Young Person’s records by a Children & Family
Court Advisory & Support Service (CAFCASS)
The Children’s Act 1989 requires records to be open to inspection by any person authorised
by the Secretary of State (such as CSCI) and requires agencies to give access to CAFCASS
Family Court Advisors appointed in care, access, parental rights resolutions or adoption
proceedings. There is no provision for reporting officers, whose duties should not require
access to social work records.
5.7
Formal request to access a Users’ records where the User has a mental
disability
A formal request to access to a User’s record where the User has a mental disability should
be made using the CR11 application form and the validation process will be carried out by the
Subject Access Request Team.
Mental disability is defined as any disability or disorder of the mind or brain, whether
permanent or temporary, which results in an impairment or disturbance of the mental
functioning.
The Law Commission has recommended:
“anything done for, and any decision made on behalf of, a person without capacity should be
done or made in the best interests of that person.”
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RECORDS MANAGEMENT &
DATA PROTECTION
In general the User has the right to have access to his or her records, no one else does.
It must be established whether this is a request on behalf of the User or an independent
request.
Whilst the requester may hold authority, that is have a registered enduring power of attorney
or be a receiver authorised by the court of protection, to manage the User’s financial affairs,
and have an authorising order, consideration still needs to be given to the following:




The ascertainable past and present wishes and feelings of the User concerned and the
factors the User would consider if able to do so.
The need to permit and encourage the User to participate, or to improve their ability to
participate, as fully as possible in anything done for and any decision affecting the User.
The views of other people whom it is appropriate and practicable to consult about the
User’s wishes and feelings and what would be in the user’s best interests.
Whether the purpose for which any decision is required can be as effectively achieved in a
manner less restrictive of the User’s freedom of action.
It must not be assumed that because a User has a mental disability that they are without the
capacity to make a decision about access to their records. In all situations an assessment,
taking into account the above points, should be made as to whether the user is capable of
indicating their wishes or a decision must be made on their behalf. This assessment must be
recorded in the profile notes. If a User’s condition appears to be temporary, wait and reassess
the situation.
Seek the advice of the User’s General Practitioner or Psychiatrist. Ask for their decision to be
put in writing.
Seek the advice of the Receivership Officer and/or Mental Health Adviser.
On occasions it may be necessary to ask the permission/ advice of the Court of Protection.
If there is evidence of financial abuse please contact the Receivership Officer for advice.
Access does not have to be granted where the User is likely to suffer serious harm or an
offence is suspected or alleged.
The decision about whether to grant access should be made by the appropriate Service
Manager for Mental Health/Learning Disabilities.
If the request to allow access to the User’s records is refused, The Service Manager must
advise the Subject Access Request Team of their decision, record the reasons for refusal to
disclose the whole record or key documents and the decision must be sent in writing to the
requester outlining the grounds for the refusal.
5.8
Access by agents appointed by the User
Requests for access to the User’s records, from and agent such as a Solicitor, advocate or
relative, must be accompanied by a CR11 form, written authorisation from the user together
with appropriate identification eg birth certificate/passport and/or driving licence or utility bill as
proof of address. The User must state which papers may be accessed. The authorisation must
also state that the authority has been freely given.
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RECORDS MANAGEMENT &
DATA PROTECTION
If the request to allow access to the User’s records is refused, The Service Manager must
advise the Subject Access Request Team of their decision, record the reasons for refusal to
disclose the whole record or key documents and the decision must be sent in writing to the
requester outlining the grounds for the refusal.
5.9
Routine User involvement in case record as work proceeds
Recording is an essential component of our service to the User. The care with which we
record demonstrates our respect for the User and their private and family life.
It is expected that all staff who record personal and sensitive information, for the purposes of
providing care services, about the users will routinely share what has been recorded with the
user. At the earliest opportunity Key Workers will need to have a conversation with the User
about how this will be done. The outcome of the conversation will be recorded and when
copies of records are given to Users the date of the transaction will be recorded. Key Workers
must ensure that Users are given the opportunity to talk through what is recorded and where
necessary support in reading and understanding the contents of the records. Particular
attention must be paid to helping Users understand how and why decisions about their care
are made. Users will be encouraged to express their view about decisions and these will be
recorded.
When the user identifies factual errors these must be corrected within one working day of the
Key Worker being notified.
Where there are differences of opinion about the record between the User and worker these
must be recorded in the profile notes and shown to the User. This should take place within
one working day of being notified. The User should be given the opportunity to add their
opinion to the record which should sit alongside the original document.
Documents to be routinely copied to Users

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



Assessments of need.
Care plans
Re-assessments of need.
Financial assessments / statements.
Reviews.
Minutes of meetings where personal information is recorded.
Users have the right to see what is recorded on profile notes. However, the routine sharing of
these documents after each visit/contact may prove impractical. Key Workers will inform the
User of their rights and discuss the issue with the User. If the User expresses a wish to
exercise their rights to see the profile notes the records will be shared at agreed intervals. The
discussion and the outcome of the discussion will be recorded.
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GENERAL
5.9
RECORDS MANAGEMENT &
DATA PROTECTION
Access by members of staff to their personnel records
The Data Protection Act 1998 applies equally to employees of Hampshire County Council.
Therefore staff may have access to their personnel records. This includes any document
where a staff member may be identified.
To access Information on the Human Resources system staff should access Employee Self
Service (ESS) follow the link for further information on how to access ESS.
To access manual personnel records staff should write to the Area Personnel Officer who will
respond to the request within 10 working days.
It is good practice for line managers to routinely give copies of any supervision notes to staff
that they manage.
6.
RECORDING PRACTICE GUIDANCE
The recording of personal information in the context of Adult Services & Children’s Services is
frequently seen as an activity that gets in the way of the real work, that is, seeing and helping
Users. However, numerous, public inquiries into the deaths of children, suicides, people
murdered by the mentally ill and work by the Commission for Social Care Inspection, have
cited poor recording and poor communication as a contributory factor in situations that have
resulted in tragic outcomes. Therefore it is vital that the recording of our work with Users of our
services is given the attention and care it deserves from everyone involved in the recording
process. This means not only the recording of direct work with Users but also the recording of
data that forms the basis of the statistical information we must routinely provide for central
government. It is no longer possible to assert that this Adult Services & Children’s Services
are providing good services without the evidence to support that assertion. Everyone involved
in the recording process has a responsibility to familiarise themselves with their roles and
responsibilities and have detailed knowledge about the processes and procedures. It is
acknowledged that in a busy day recording and the management of records may not seem to
be an urgent priority but all of our work should be planned including time for recording.
Managers have an enabling role in this respect and need to ensure workloads are managed in
such a way as to allow staff sufficient time for recording as well as all the other tasks
associated with providing excellent services.
6.1
Informing and Carers and Users why we need to keep records
Users and Carers will be informed about why we keep records and our recording practice at
the earliest opportunity. The leaflet ‘Your Records’ informing the User of their rights must be
given. This leaflet contains all the reasons why we need to record personal information. These
are:




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

To distinguish between two people with the same name.
To account for actions taken. We are accountable to the Director of Adult Services or
Children’s Services and Hampshire County Council and other bodies on occasion.
To comply with the law, for example, the Mental Health Act 1983, the Children Act 1989
and the National Health and Community Care Act 1990
To provide a record of events for an individual. For example, a looked after child.
To monitor the progress of the services we provide.
To help with the supervision and professional development of individual staff.
To help plan the services we provide we use information about individuals, which is
anonymised and aggregated.
To provide information to Central Government to monitor the services we provide to users
and assist with central planning.
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GENERAL
6.2
RECORDS MANAGEMENT &
DATA PROTECTION
Content and style of recording
Before collecting personal information staff will introduce themselves by name and offer proof
of identity and authorisation. We will only record what is necessary to provide the User with a
service that meets their needs. We will not record information just in case it might be useful.
The records should reflect anti-discriminatory practice and demonstrate sensitivity to the
needs of all people in the community.
There will be occasions when the User shares information that is “sensitive”. Sensitive
personal data includes, ethnic origin (see appendix 2 for ethnic recording policy)
http://intranet.hants.gov.uk/social-services/equalities-2.htm), political opinions, religious or
other beliefs of a similar nature, membership of a trade union, medical or mental health
condition, sexual life, criminal offences, criminal proceedings and convictions.
Generally medical information needs to be treated with caution and should be recorded in
terms of the implications for the needs of the User not in medical language. But there will be
occasions when it is necessary to use medical terms, for example, when we are providing a
service for a User with mental health problems or with an illness limiting abilities.
All records should be written as though the User is reading the record with you.
Records should be written in plain language that is free of jargon. Abbreviations must not be
used.
The record must be factual and when opinions are expressed these must clearly be identified
as such. Opinions and observations must be shared with the user and the user should be
encouraged to express their views and have these recorded.
The amount and quality of the recording should be sufficient to enable the reader to have an
understanding of the Users needs and any risks involved. See also the section on the quality
of recording.
A chronology of significant events should be kept and updated at three monthly intervals.
All records must show who was present at the contact, where and when the contact took
place.
The purpose of the contact, any outcomes, the time, the date and who wrote the record must
be clear and legible. Entries must not be tampered with or altered at a later date.
Where there are allegations of abuse against a named person care needs to be taken to
ensure that the account of the allegation is factual. As far as possible alleged perpetrators of
abuse must not be defamed.
Where Users’ information is disclosed without consent a record of the information disclosed
will be made. The record will include who was involved in making the decision and, if
consulted, the solicitors’ advice.
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GENERAL
6.3
RECORDS MANAGEMENT &
DATA PROTECTION
The quality of the recording
As with all the services we provide we aim for excellence and recording is no exception. To
help people assess the quality of the recording the Social Service Inspectorate in “Recording
with Care” (published 1999) suggests the following criteria:




6.4
Poor. No record of work, or it is so partial it is of little value.
Weak. The record indicates the dates the people were contacted/seen and gives brief
details of actions taken/ decisions but is incomplete or superficial.
Good. The record indicates the dates, purpose and outcomes of contacts (i.e. meetings/
interviews/ telephone conversations) and who was present. It presents all the information
and at intervals brings it together as part of the assessment, planning and review cycle.
Superior. In addition to the requirements for good recording it presents all the salient
information, both past and present, about the service user/ child and family. This
information is analysed and used as a basis for deciding what the current risk to service
user/ child; what plans need to made to reduce risks and rationale for these; details the
work being offered to the service user/ child and family and being undertaken, including by
whom.
When to record
Every contact with a User or contact about a User must be recorded within three working
days. Recording for Child Protection, Adult Protection (appendix 12) and Mental Health Act
assessments must be completed within one working day. This is necessary because
memories are unreliable and accurate recording is essential.
When there are changes in the user circumstances. For example, the User moves to another
address or dies. The recording of death is of particular importance because of the potential to
cause distress to families. Deaths should be recorded in the appropriate systems, for
example, SWIFT.
In exceptional circumstances where delaying recording is necessary the reasons for the delay
must be recorded.
6.5
Recording decisions
Any decision that affects the User and signifies the department’s intentions towards the User
must be recorded on the form appropriate to the situation. The date when the User was
informed will be recorded.
The people involved in making the decision should be identified and the reasons for making
the decisions should be clear.
If there is a link between the decision made and departmental policy, legislation or research
this should be explained in the record.
The person responsible for the decision should make the record.
However, there will be occasions when decisions are made in meetings. In this event the
decision should be recorded, by the Key Worker, in the profile notes together with information
about the date the meeting was held, the nature and purpose of the meeting.
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GENERAL
6.6
RECORDS MANAGEMENT &
DATA PROTECTION
Supervision of recording
Line Managers/Supervisors are responsible for ensuring that records meet the quality and
time standards contained in this document. For this reason it will be necessary to ensure that
existing and new staff are familiar with and understand both this policy/procedure and other
policies/procedures where expectations and guidance for recording are specified.
The supervision of recording is a vital activity. In supervision, when cases are discussed, the
case file and the electronic file, for the subject of discussion, should be examined.
Feedback about whether the file/recording meets the department’s standards should be given
to the worker and recorded in the profile notes. See also section on the quality of recording.
Where a staff member consistently fails to meet departmental standards, that is the recording
is consistently poor or weak, it will be necessary to consider further action.
Please use the attached link for the Adult Services Quality Practice Case File Auditing Policy
and Procedure http://www3.hants.gov.uk/proc2305-2.doc
When work is completed, or transferred to another worker, it is the Team Manager’s
responsibility to examine the manual/computer case file and recording before the file is closed
When examining files prior to closure or transfer Team Managers will ensure that recording is
accurate, the record complete, that all duplicate information (in manual records) is deleted and
original documents are kept.
A summary of the work with the User will be completed by the Key Worker before the case is
closed or transferred. This will include information about whether the services provided have
met users needs and whether the desired outcomes have been achieved. In SWIFT the
summary will be entitled, “closing summary” or “transfer summary”.
7.
FILE STRUCTURE
The electronic SWIFT record is the main file. Therefore it is not necessary to keep documents
that have been printed from SWIFT and file them in the manual file. The only records that
should be kept in the manual file should be documents that are not generated by the SWIFT
System.
One of the reasons we record is so that staff can provide continuity of service and the case file
should do all that it can to support this. The case file is also the main form of written
communication between Adult Services & Children’s Services staff. The file should contain
only original documents as reproduced documents such as photocopies and facsimile records
may deteriorate thus destroying personal information contravening the 7th principle of the Data
Protection Act 1998.
All paper records in each file section should be filed in book order. For example, in section 3
the first contact sheet should be at the beginning and the most recent at the end. The reason
for this is in order to draw the attention of the reader to the history of the User and previous
work undertaken. This is especially important when considering the risks to a User or
members of the public.
When an additional file is opened it will be necessary to transfer all key information, all the
most recent information including minutes of last meetings, care plans and other relevant
current documentation.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
7.1
File Structure see Appendix 9
8.
THE RETENTION AND DESTRUCTION OF RECORDS
The purpose of this section is to define the requirements for the retention and disposal of
paper files/ manual records and electronic records. Please note this guidance does not apply
to business or administrative records. The Data Protection Act 1998 says that records must
not be kept for longer than necessary, the timescales in this schedule are based directly on
relevant legislation or are decisions made by the Adult Services & Children’s Services and
deemed to be necessary. For example, for jointly held Mental Health Users’ records it is
necessary to keep the records for 20 years to comply with the legal requirements of the Health
Service.
When a User has an electronic case file, currently in SWIFT, this is the main file. Therefore it
is not necessary to keep documents that have been printed from SWIFT.
Manual records will have one main file that will be kept in the Area centre. Users can receive a
service in a unit and when the service is finished the Users’ record should be returned to the
Area centre.
When a file is closed, the responsible officer will assign a retention period to the file in
accordance with the retention schedule. The file should be clearly marked on the outside with
the destruction date, which should also be entered on SWIFT. Any doubt concerning the
interpretation of the retention schedule should be referred to the Records Management
Officers, who will seek advice if necessary.
Regular spot checks, a record of the findings will be kept, will be made by the Records
Management Officers to ensure that all closed files have had a retention period set, and that
SWIFT has been updated with the destruction date where appropriate.
Lists of files which have reached the end of the retention period, and which are due for
destruction, should be regularly obtained monthly from SWIFT. This should be supplemented
by physical checking of the files in the closed file storage area by the Records Management
Officers.
The electronic case file should be destroyed at the same time as the paper file. All papers
from case files should be disposed of in a confidential way eg shredded or placed in
confidential waste bags.
Files with long term retention periods can be transferred to Hampshire Record Office, subject
to the procedure set out in section 9.12 of this document being followed. These files can be
transferred at any stage during the retention period, but it is recommended that they are
retained in the Area Centre or unit for a minimum of 3-6 years.
It is the responsibility of the Records Management Officers to identify those files that could be
transferred to Hampshire Record Office, and to make the appropriate arrangements.
The disposal of files held at Hampshire Record Office will be handled by Hampshire Record
Office in consultation with the depositing Area Centre or unit.
Retention schedule
See Appendix 11
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
9.
STORAGE AND SECURITY
9.1
Systems covered by the Data Protection Act 1998
The legislation applies to “accessible personal information” which means information held by
the local Authority to carry out its Adult Services & Children’s Services functions. This includes
material held both locally and centrally, in manual files, electronic mail, card indexes, day
books, and logs, video and audio tapes and on computer systems and word-processor files
stored on individual disks.
Databases that contain personal information should only be held by agreement with the line
manager and the IS Section and should be kept in accordance with the policy and guidance
set out in this document.
All accessible systems as described in paragraph 1 above should be kept in accordance with
the policy and guidance set out in this document.
A complete list of all databases will be maintained by the IS Section and newly created
databases should be registered there.
9.2
Security of information held on Computers
9.2.1
The role of the organisation
It is the role of the Local Authority and Adult Services & Children’s Services to ensure that
adequate safeguards are in place to protect the security of personal data held in computer
systems. To ensure that this is the case, there will be detailed policy and procedures as well
as technical measures to safeguard against the following:



Loss of data (routines for backup and restore and disaster recovery)
Corruption of data (routines for virus checking, firewalls, security procedures as well as
rigorous testing of new systems).
Misuse of data and unauthorised release of confidential data (technical and procedural
access control, training, awareness and supervision to raise awareness of policies,
procedures and sanctions as well as declarations of undertaking by both Adult Services &
Children’s Services and other agency staff as well as contracted staff and bureaux).
9.2.2
The role of every member of Adult Services & Children’s Services
Ensuring the security and accuracy of User information is a responsibility of management and
staff at all levels. This includes arrangements for the secure storage and disposal of all User
information.
9.2.3
Security – Responsibilities of Computer Users
Terminals and Personal Computers (PCs) that access personal data must be logged off when
unattended.
System users must ensure that they log off at the end of each working day. Systems
accesses by ids are monitored and repeated failure to log off at the end of the day will be
followed-up.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Siting of terminals should prevent accidental viewing of personal data by unauthorised
personnel. This is particularly important in locations which give access to the public.
Avoid leaving sensitive data displayed on the screen.
Removable media (disks, memory sticks) that store personal data must be removed and
stored securely when not in use. Backup disks and tapes must also be stored securely and
separately from the originals. For business critical data, storage should be in a fireproof safe,
or off-site.
Disks sent or taken to other work bases should only contain data relevant to the proposed
task.
All equipment must be security marked. (Contact the IS Section Helpdesk for further advice).
Removable media should be kept away from extremes of temperature and electrical or
magnetic equipment.
Laptops should not be left in cars, or unattended in any public place.
See Appendices for guidelines on use of the Internet and E-mail.
9.2.4 Security – Responsibilities of Users of Computer printout and Fax
Computer printouts and fax containing confidential, personal, or sensitive financial data must
be kept securely, not left lying around in printer trays, or elsewhere. Printouts which are
printed at a central location must be collected immediately, or arrangements made for their
secure storage until collection is possible.
Confidential printout sent through the courier systems should always be placed in a sealed
envelope, marked “Personal and Confidential” and addressed to a named recipient, an if
undelivered address should also be added
If these printouts cannot be transported by the courier service and need to go in the post, they
must be sent by recorded delivery. A register of files sent out must be maintained by the
sending officer whether from HQ, Area or a Unit on the P fFiles Tab in SWIFT.
Access to computer output documentation and paper files must be authorised and managed
in the same way as access to electronic records. Documents used for data input reference
should be stored securely before and after input, or destroyed in accordance with any agreed
procedures.
Instruction booklets, papers, files or manuals describing personal data or its processing must
be kept securely when not in use.
When printed output containing confidential, personal, or sensitive data is no longer required it
should be destroyed via the confidential waste facility.
Confidential waste sacks should always be kept in locked cupboards or rooms.
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GENERAL
9.2.5
RECORDS MANAGEMENT &
DATA PROTECTION
Backups
It is the responsibility of the IS Manager, Data Protection Coordinator, system developers and
development project managers to ensure that backup facilities are included in the
development of any corporate, or departmental systems.
Data which is stored on the hard drive of the PC, or on floppy disks should be backed up
regularly to ensure that there is a clean and up-to-date copy if there is an equipment failure.
For business critical data, storage should be in a fire-proof safe, or off-site.
9.2.6
Virus
Viruses are computer programs which can hide within other programs, files or computer
memory and when they become active they can corrupt data held in the computer’s memory.
IS Section Helpdesk should be contacted immediately if you suspect you have a virus on your
PC. It is vital to stop the spread of viruses quickly once they are introduced.
Conduct, or arrange regular “virus checks” with the local AISO, and be especially vigilant if
you work with floppy disks on a range of different machines.
Never load programs from disks without consulting IS Section who will advise on virus
checking and machine setup.
Never change system files without prior consultation with IS Section who will advise about the
way your PC is set up.
Never copy programs from one PC to another, without proper authorisation from IS Section.
Never copy HCC programs onto personally owned equipment without proper authorisation
from IS
Section.
9.2.7
Home working
Once the need for home working and, subsequently, the demand for home computing facilities
have been established, it is necessary to obtain permission via your line manager to provide
equipment and other facilities in the home base. When authorised, equipment should be
ordered in the normal way via the IS Section.
Extra care must be taken to ensure that the principles of the Data Protection Act are complied
with and that unauthorised persons do not have access to confidential, personal, or sensitive
data.
If staff members are processing personal data on their own initiative and outside their remit as
an employee of HCC, then they will be data users in their own right. As such they will not be
covered by the Adult & Children’s Services Data Protection Registration and they should
register their own use with the Data Protection Coordinator.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Particular attention must be paid to maintaining the integrity of duplicate or skeleton records
where files are held in more than one location.
Disks carrying data between home computers and those used in work bases are vulnerable to
attack by viruses. If disks are used in this way it is particularly important that virus checks are
carried out.
9.3
Security of Information Held on Manual Files
All Adult Services & Children’s Services staff are responsible for the safe keeping and storage
of records.
It is expected that all Staff in contact with information held by Adult Services & Children’s
Services will abide by the following standards






files must not be left on desks overnight
when not in use paper files must be stored in lockable cabinets
when not in use computer files must be closed and subject to password security
when in use files must not be left unattended for passers-by to observe
paper files in transit must be enclosed in appropriate envelopes and marked confidential
files must not be displayed in public places (eg on trains) or left in vehicles at any time.
9.4.1
Storage of files relating to staff members and their families
Where a link can be made at referral stage, (or any stage of contact with Adult Services &
Children’s Services Department), between a member of staff and a referral, or a member of
staff’s family and a referral there should in all cases be tightly restricted access to the files.
The SWIFT Record can be made confidential on request. The request must be authorised by
the relevant Service Manager and passed on to the Information Services Support Team via
HEAT Self Service giving the names and USERID of those who require access to the record
in order to provide a service.
Paper files should be held by the Lead Service only and accessible only to any key worker on
request to the Lead Service Manager or to another nominated senior staff member in their
absence.
The SWIFT P File tab should be amended to reflect the location of the paper record.
These files will be kept in a locked cabinet in the Lead Service Manager’s room and will
remain so until it is necessary for the files to be moved to Hampshire Record Office or
destroyed in accordance with the retention and destruction policy.
9.5
Storage of Manual Files
9.5.1
Introduction
The following procedures relate to manual user files created by Hampshire County Council
Adult Services & Children’s Services. They are intended to ensure that the County Council
has easy and continuing access to vital information concerning its users for as long as
necessary.
These procedures should be used in conjunction with the procedures relating to recording and
record retention.
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GENERAL
9.5.2
RECORDS MANAGEMENT &
DATA PROTECTION
Basic principles
For every open case there should be a named Key Worker who is responsible for ensuring
that a paper user file is maintained, and that information is recorded within the Department’s
timescales.
File size needs to be kept to a minimum, therefore duplication of information on the file should
always be avoided. Additional items that do not contain users’ information, such as
compliments slips and acknowledgements should either not be filed or should be removed
from files at an early date and destroyed.
All files should be clearly labelled on the bottom right hand corner with User name, date of
birth and SWIFT reference number . Closed files should also be labelled with a destruction or
review date.
The location of each file, whether active or closed, must be recorded on SWIFT. If the
location of the file changes, SWIFT must be changed within one working day. It will be
necessary to introduce other measures to ensure that the use and location of files is
adequately recorded.
Files must be kept securely, with access limited to appropriate staff members. See access
matrix for details.
The physical arrangement of the records must permit these staff to have swift access to
individual user files at all times.
A well ordered and tidy filing area must be maintained to ease the process of reviewing,
culling and archiving of user files.
9.5.3
The storage of user files
Manual records should be stored in centralised filing areas or registries for active files which
serve a particular user type or team, or which serve a defined area or floor of the office. The
principles governing the use of such a filing area should be the same as those for the storage
of closed user files (see below).
Closed user files should, if possible, be stored in a central location within the Unit or Area
Centre for the duration of the retention period.
Files with long retention periods can be transferred to Hampshire Record Office in accordance
with procedures set down by the County Archivist.
The closed file storage area should be located within a room or rooms dedicated solely to this
purpose and which are capable of being locked. If this is not possible, the files should be kept
in lockable cabinets.
The file storage room should be isolated from major building services, including water pipes,
computer servers or wiring. If this is not possible, steps should be taken to minimise risk to the
files from fire or flooding.
The file storage room should be free from damp and should not be subject to extremes of
temperature.
33
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
The file storage room should be fitted with open shelving or shelving units. Advice should be
sought about the load bearing capacity of the floor, especially if mobile shelving is
contemplated.
Closed user files in the storage area should be arranged alphabetically by surname in a single
sequence, regardless of user type or closure date. The file cover should be labelled with the
destruction or review date of the file on the bottom right hand corner of the folder. This label
should be visible without removing the file from the shelf.
Files should be held in the storage room or area for no longer than is necessary. When the
retention period is over they should either be destroyed or transferred to Hampshire Record
Office.
9.5.4
Access and security
All filing cabinets or cupboards containing user files, whether active or closed, should be kept
locked. Access to these cabinets and cupboards will be controlled by the Records
Management Officers who should establish procedures for allowing access to the files that
they contain.
Access to file storage rooms containing closed user files should also be controlled. These
rooms should be kept locked, though a recognised procedure should be in place to allow
access to designated personnel at all reasonable times.
It is the responsibility of the staff member who removes a closed user file from the file storage
room to ensure that details of the new file location are entered on SWIFT within one working
day.
Staff members who remove files from the storage area will always up-date the P Files tab in
SWIFT to ensure a record of the record’s location is maintained.
9.5.5
Transferring Records to Hampshire Record Office
Records which need to be kept for long periods (i.e. 75 years or more) can be transferred to
the Records Centre at Hampshire Record Office in Winchester. Other records may be
accepted subject to agreement with Records Centre staff.
The Records Office will hold these records on behalf of Children’s Services for the periods
shown on the Retention Schedule. At the end of this period the records will either be
destroyed or transferred to the permanent archive of Hampshire County Council.
During the retention period the records will only be made available to authorised personnel of
the depositing Area, Unit or Section, or to personnel of other Areas, Units or Sections (or of
other County Council Departments) with the permission of the depositor.
Public access to records will be bound by the rules of the Data Protection Act, 1998.
Applications to see personal records can be made through the Subject Access Request
process. This is dealt with by the SAR team at Nuance House, Eastleigh who can be
contacted on 02380 687338, or email SSHQSAR.
Hampshire Record Office should be given notice of intent to transfer records. Prior to
transferring records an Official Transfer (OT) number must be obtained from staff at the
Records Centre.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
The Record Office will provide boxes for transferring records on request. Only these boxes
should be used.
All records need to be arranged, boxed and listed by Adult & Children’s Services personnel
prior to transfer. The listing of records should be completed onto the Records Management
transfer template for importing into the Records Centre database which is known as ‘CALM
RM’.
When user records are to be transferred, SWIFT must be updated to show the destruction
date of the file and the new location (Enter 'HRO' for Hampshire Record Office) and the date
that the files have been transferred to the Records Centre.
Delivery of records to Hampshire Record Office should be arranged through the HCC courier
service -01962 873950.
Staff at the Records Centre will issue receipts and consignment lists for all records transferred
within 7 working days of receipt of both transfer template (for CALM RM) and of all the boxes.
For specific guidance on transferring children's files please see section 9.5.7
9.5.6
Retrieval of records from Hampshire Record Office
Records can be retrieved from the Records Centre at Hampshire Record Office on request.
Files must be ordered with as much notice as possible. HRO will respond to any requests
within 24 hours, but the distance to an area office or unit and frequency of courier service will
determine how quickly records are received. To order files you can telephone 01962 847761,
request by email to SADERM, or alternatively use the document ordering form to be found on
Hantsweb Pages :
http://hantsnet2000.hants.gov.uk/TC/record/forms/rmsform.html
Records so ordered can:




be viewed in the Public Search room at Hampshire Record Office
be returned to the depositor (or depositor's nominee) using the County Council's Courier
Service. Orders are normally processed within 24 hours of receipt of request.
be collected in person by the depositor (or depositor's nominee)
be permanently withdrawn
Records will only be issued to staff for viewing or collection at Hampshire Record Office on
production of a Hampshire County Council Adult & Children’s Services identity card.
Withdrawals will initially be for six months, though this period may be extended. This will be
followed up by HRO on a six monthly basis.
Records can be permanently withdrawn from the Records Centre if there is a need to consult
them more frequently than anticipated (eg if a user makes contact again).
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GENERAL
9.5.7
RECORDS MANAGEMENT &
DATA PROTECTION
Transfer of records to Hampshire Record Office: guidelines for the preparation
of Children's case filing
Please only include files with a 75 year retention period, in accordance with the Adult &
Children’s Services Dept records retention schedule. In practice this should mean most child
care files, i.e. files relating to children placed by or in any way looked after by Hampshire
County Council. The retention period for such files should be 75 years from date of birth.
If a file relates to more than one child the destruction date will be calculated as 75 years from
date of birth of the youngest child:
All files that are to be transferred should have a skeleton record created for them on the user
system if they have not already got one. This should include details of destruction date and
location, i.e. ‘Hampshire Record Office’ or ‘HRO’
Files relating to adoption cases should not be directly transferred to Hampshire Record Office.
These should be sent to Adoption Services for processing.
Children’s files should be transferred to HRO in batches of a minimum of ten boxes. Each
batch will be identified by an Official Transfer (OT) number which is allocated by HRO prior to
listing and transfer. The files should be arranged in destruction date order and then ideally
alphabetically within year of destruction.
Files must be packed only in the boxes supplied by Hampshire Record Office.
Once the files in each batch have been sorted and are to be boxed, details of each file should
be entered onto the ‘CALM RM’ official transfer template used by HRO. The transfer template
for the ‘CALM RM’ form is issued by HRO as an email attachment with the allocation of the OT
number.
Once the listing has been completed please notify the Hampshire Record Office by emailing
SADERM. The actual transfer of the filing boxes to HRO is the responsibility of the
department. You will need to confirm if Records Centre staff would like the boxes delivered to
the main office at Hampshire Record Office, Sussex Street, Winchester or to the off-site store
at St.Thomas’ Centre, Southgate Street, Winchester.
9.5.8
Transfer of Records to Hampshire Record Office : Instructions for adding data to
the CALM RM transfer template
Details of records transferred to the Records Centre for storage need to be captured into the
database managed by the Records Management Service which is known as CALM RM. To do
this departmental staff will be e-mailed an attachment containing a template of a word
document to complete. The procedures for completing the form are as follows:

You will receive an e-mail entitled ‘OTxxxx transfer template’ bearing the deposit
number or Official Transfer number agreed beforehand with the Records Management
Service (RMS). The e-mail will contain an attachment.

You will need to open the attachment containing the template and save the document
in WORD in a departmental folder of your choice. We would recommend that you set
up a specific folder for transferring records to the Records Centre on I:\drive do not
save it within DMS. Save file with the file name ‘OTxxxx completed transfer template’:
click on File menu, choose Save As option (outside DMS), add file name to file name
box, select word document in save as type, select a suitable folder, click on Save.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION

You may notice that one or two control boxes appear on screen these can be safely
closed by clicking on the cross in the right hand corner of each one.

Some details such as your name, department and contact details have already been
completed by the RMS at the top of the form. There is no need for you to add anything
to this section.

Scroll down to the next section below the directive ‘All fields must be completed for
each row below’.

You will notice that the Transferred field has been completed with the Official Transfer
number and a default LoanGroup of All has also been assigned by the RMS. There is
no need for you to add anything to these two fields.

Beneath these fields are the column headings: RecId, OfficeRef, Title, Date,
RetentionFrom and ClassId. These headings relate to those found in the RMS
database CALM RM, they are described more fully below.
9.5.9
Completing the record details
9.5.10 RecId – Record Id – this is the full Records Centre reference assigned to each record.
You will need to complete the RecId for every record being entered onto the form. The
format should be as follows, OT number/box number/item number (eg 8910/12/65).
Please note that item numbers run sequentially from the beginning of the deposit to the
end (ie if you transfer a total of 65 records the item numbers start at 1 and end at 65).
Single digit box or item numbers should be written as follows 8910/1/1 not as
8910/01/01.
9.5.11 OfficeRef – Office reference – this is the full departmental reference given to the
record while in current daily use. The OfficeRef should only be completed if you have a
departmental reference if you do not please leave this field blank. The departmental
reference must be unique for each item if it is not unique then please type it in the title
field instead.
9.5.12 Title – Title – this is the name by which the record is known. The title field will expand
to hold as much data as you need so there is no limit on the amount of information you
enter.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
9.5.13 Date – Date – this can refer to the covering dates of the record (i.e. when opened and
closed) or it can refer to a single date such as the date of birth of a User. The format
for writing dates is as follows 1/04/2004-31/03/2005. There should be no gap between
any of the characters.
9.5.14 RetentionFrom – Retention From – this is the date from which the period of retention
is calculated. It is usually the first of January following the date of the record. If you
are unsure of what to write in here please contact a member of staff at the Records
Centre for advice. The retention from date should be written in the following format
1/01/2005. The retention from date needs to be completed for each record and can be
copied and pasted if it is the same for each.
9.5.15 ClassId – Class Id – this refers to the class or type of record and must be added to
each record, it enables the RMS database to calculate how long the record should be
retained and what should happen to it once the period of retention has expired. As far
as possible each deposit will contain the same class of record enabling the RMS to
assign a single ClassId to all. The ClassId will always be completed by the RMS for the
first record except when deposits contain mixed classes of record. Where the ClassId
is identical for all records in the deposit it can be copied and pasted to each record.
Where the deposit contains mixed classes leave this field blank for the RMS to
complete.
9.5.16 Departmental staff must only add data directly into the shaded areas in the cells
of the table. To add data, start by placing the cursor into the cell of the first record and
click the left hand mouse button. The shaded area will be highlighted a slightly darker
colour of grey – it is now safe to add data. You should not be able to add data outside
shaded areas as this will not be imported into the RMS database. Continue to the next
field by tabbing across.
9.5.17 Once completed save the document and send as an attachment in an e-mail to
records.enquiries@hants.gov.uk. Please title the e-mail as ‘OTxxxx completed
transfer template’ so it can be dealt with promptly.
After the material has been transferred a print-out is made of the list. Once the boxes have
been sent and accessioned (this includes checking the contents and locating the boxes) a
copy is sent to the depositing department with an official receipt.
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GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
9.5.18 Transfer of Records to Hampshire Record Office: Guidelines for Boxing records
For ease of access please arrange files as you would in a filing cabinet, with the name of the
User on the spine of each file. Leave enough space between each file so they can be
removed and replaced easily.
Economical use should be made of the space within the box but the final weight including the
lid, should not be more than 12Kg for Health and Safety reasons.
Papers should be removed from ring binders and lever arch files. Add a title front sheet listing
family members that the file relates to, and bind with archivist tape (do not use elastic bands
as these will eventually perish).
Ring binders and lever arch folders are not acceptable for the following reasons:



they are too bulky and take up valuable space inside the box
they add to the weight of the box
the metal rings can rust, marking the paper (particularly bad for long-term storage)
Plastic folders or sleeves should also be removed as far as possible as they release
chemicals which are harmful to the documents. Replace with cardboard folders. Check for and
remove any paperclips.
When files are arranged alphabetically, numerically, or by date of destruction within a box it is
helpful to indicate this using divider cards.
Remember to mark the box with its OT and BOX numbers (a black felt tipped pen works best).
While filling the boxes please do not write on any other part of it - use peel off labels if you
need to identify them - as one day the box may be re-used for other records
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GENERAL
10.
ACCESS TO SYSTEMS
10.1
System User Access Rights
RECORDS MANAGEMENT &
DATA PROTECTION
The key principle is that access to information held in Adult Services & Children’s Services
systems will only be granted where that access is a regular requirement of the requester’s
role. This principle applies to both computer records and paper records.
The type of information that can be accessed will be determined by:


the staff member’s role in relation to the User
the type of information required to effectively carry out that role
Staff profiles will specify what parts of User records are allowed to be accessed by the staff
member
For very sensitive files, access to all of the file will be granted to a small number of named
individuals only.
Viewing and Update access will not be granted on the basis of “just in case”.
When a new member of Adult Services & Children’s Services staff joins the department, the
request for a Hantsweb Id and systems access must be authorised by the line manager.
The IS Section arrange for access to systems when an appropriate request is received from
the manager.
Where access to a particular system has not been requested, this will not be granted.
The Data Protection Coordinator for Adult Services & Children’s Services will be the final
arbiter where there is a disagreement about the level of access required.
The basic principles of access will be applied to all systems, electronic and manual.
10.2
Access Levels
Due to the amount of detail now held within system files, special controls have been
developed to manage the range of access levels. Similar principles of control will be applied
to manual systems.
Access rights for updating files are granted on the basis of roles distinguished by different
groups eg Team Manager, Key Worker, etc. Each group allows a different level of access,
appropriate for someone carrying out that role. Audits are carried out to ensure that users
are only given access to the relevant group necessary for their role.
10.3.1 Additional Security Controls
Regular reports are run to identify when systems are not being used. When a User has not
used the system for a period of time their access will be removed on the basis that this is no
longer required.
10.4
Access Requests
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DATA PROTECTION
All access requests are centrally managed and access is granted on receipt of a Userid
Request Form. All Users must attend relevant training and sign a security form of
undertaking for data protection purposes before access is granted. Appendix 5
10.5
Non-SSD Staff
Access rights for external agency staff are granted only when a form has been completed by
an authorised “nominator” with full justification for the request. External accesses are
audited on a regular basis to ensure that all the forms have been received along with a
signed security form of undertaking for Data Protection purposes.
10.6
Students and Temporary Staff
The majority of students are now managed centrally through the Hampshire Learning Centre
who in liaison with the training team arrange the relevant system access and training is
arranged.
In the case of a non Hampshire Training Centre students or agency staff, the line manager
must arrange access on the relevant userid request form. They must also advise when this
access is no longer required
ID’s will be applied on a personal basis.
11.
INFORMATION SHARING WITH OTHER AGENCIES – JOINT PROTOCOLS AND
POLICIES
Adults Services & Children’s Services are currently working in conjunction with other
agencies to produce a framework policy and protocols for information sharing.
It is intended that this framework will provide guidance allowing development of detailed
protocols for specific areas of the business.
Any policy will be likely to contain the following General Principles.
11.1
Sharing with other Agencies
Individuals receiving services should be advised that limited sharing of information would
normally take place.
11.2
Key Principles of Joint Policy
Health and all other Agencies working with Adult Services & Children’s Services have a duty
to restrict access to patients’/Users’ files in accordance with the key principles of
confidentiality.
In all policies, protocols and individual circumstances, the following General Principles
should be applied.
i)
ii)
iii)
iv)
Justify the purpose
Don’t use subject identifiable information unless it is absolutely necessary
Use the minimum necessary subject identifiable information
Access to subject identifiable information should be on a strict need-to-know basis
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v)
RECORDS MANAGEMENT &
DATA PROTECTION
Everyone with access to subject identifiable information should be aware of their
responsibilities
Information should be specifically geared to the task it is intended to serve
Information should be shared as part of appropriately planned and managed
procedures
Information should only be shared within agreed “information communities”
Understand and comply with the law
vi)
vii)
viii)
ix)
All parties in a Joint Working arrangement will be expected to demonstrate that they have
established and have operational:









Procedures (including forms) for handling user access and consent
Documentation for service users which explains their rights of access, the relevance of
their consent, rules and limits on confidentiality, and how information about them is
treated;
Additional documentation for specific situations such as when the user may not be in a
position to understand rights of access or to provide consent
Procedures for handling records
Procedures for implementing and managing the requirements of the Data Protection Act
1998, including designated staff responsibility
Staff awareness and development programmes about the Act
Guidance and compliance procedures for staff and all who work in or on behalf of the
agency
An IT security policy and procedures
A plan and procedures for regular monitoring and auditing of adherence to the Act
Identification of agencies who are working on NHS/SSD behalf and may have authorised
access to the agency’s information, and relevant compliance documentation and
procedures for them.
11.3
Handling User Information
11.3.1 Personal Information and records:
All personal and medical records, any information therein and any information about a
person known to Adults Services & Children’s Services and allied services must be regarded
as confidential under the key principles of confidentiality
11.3.2 Consent to disclosure
Wherever possible the person’s explicit and valid consent must be obtained before
disclosure of information is made.
The Key worker and staff of other agencies involved in the person’s care have a
responsibility for informing the provider of information of the potential need to share
information and why, with other members of the person’s Adults Services & Children’s
Services and/or Healthcare team.
11.3.3 Restriction of purpose
Information given or obtained for one purpose should not be used for a different purpose
without the express or implied authorisation of the provider of the information. When wider
disclosure of information is being considered the provider should always refer back to the
information source for authorisation.
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DATA PROTECTION
11.3.4 Consent and mental incapacity
Every effort should be made to obtain the individual’s views on consent to share, where an
individual is unable to give informed consent, such consultations should be recorded in
writing.
11.3.5 Disclosure without Consent
Exceptionally, some information may be shared without prior consultation. In such cases the
provider of information should be advised that confidential information has had to be shared
and why, except where this would endanger people, or where contact has been lost with the
original provider of the information or consent may be absent.
A person may positively refuse to give consent to disclosure.
A person’s right to confidentiality is not absolute and may be overridden where there is
evidence that sharing information is necessary in exceptional cases – because of:







the power of the courts
the power of certain tribunals
as a requirement of legislation eg. Statutory assessment under the Mental Health Act
1983
the need to prevent serious crime
the health of the person
public health and welfare concerns
effective service delivery within the bounds of duty to care
There may be circumstances where Officers of the Court are appointed to look at records or
there is a need for the police or other departments of the council to have access to a record
in order to prevent or detect a crime. This may only be done within the rules set out in Data
Protection Law. In these circumstances the record holder should consult fully with their line
manager before giving access.
Before releasing User information to Officers of the Court or tribunals legal advice should
always be sought.
11.3.6 Conditions regarding disclosure
Any information disclosed should be:





clear regarding the nature of the problem and purpose of sharing information
based on fact, not supposition or rumour
restricted to those with a legitimate need to know
strictly limited to the needs of the situation at that time
recorded in writing with reasons stated.
NB. Where consent has not been authorised extra care should be taken in recording
reasons, decisions and actions taken.
Where disclosure of information without a person’s consent has been considered and a
decision has been taken not to disclose, the decision should be recorded in writing with
reasons given.
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11.4
RECORDS MANAGEMENT &
DATA PROTECTION
Joint and Specific Roles and Responsibilities
11.4.1 Sharing of Policy/Protocol Documents – The Role of Commissioners
Officers of health and Adults Services & Children’s Services who plan and commission
services (commissioners) should ensure that all agencies that are involved in mental health
services either under statute, as in the case of the Police and Probation service, or in a
voluntary capacity, shall receive a copy of relevant policy and procedure documentation and
agree the principles relating to the protection and disclosure of information.
Where services are commissioned by health and/or Adults Services & Children’s Services
either independently, jointly, or in partnership with other agencies, commissioners shall
ensure that the providing agency/agencies has/have copies of relevant policy and procedure
documentation, agree the principles relating to protection and disclosure of information and
the roles and responsibilities of their staff.
Commissioners shall ensure that all contracts with provider services specify compliance with
the key principles of protection and disclosure of information and any agreed protocols as
stated in policy and procedure documentation.
In collaboration with providers, commissioners shall identify specific areas of work that need
to be supported by inter-agency protocols. Commissioners shall ensure that protocols are
agreed between relevant statutory and voluntary agencies to clarify the process of sharing
information eg. In respect of court diversion schemes, prisoners with mental health
problems, tackling crime, substance misuse, child protection, elderly mentally frail, housing.
Commissioners shall ensure that agencies that provide services under contract or on a
voluntary basis are consulted when policy and procedure is reviewed.
Appendix 10 Information Sharing Protocols
12.
ROLES AND RESPONSIBILITIES
12.1
Corporate (Hampshire County Council) Responsibility
It is a Corporate responsibility to ensure that corporate systems are safeguarded from data
loss, corruption, or misuse.
Security principles will be a fundamental consideration in the development of every system.
It is a Corporate responsibility to ensure that systems are notified to the Data Protection
Commissioner for the purposes of the Data Protection Act 1998.
12.2
Departmental Responsibility
All personal information held in Adult Services & Children’s Services will be kept in
accordance with the law and central government guidance and in accordance with the
policies contained in this document.
The Adult Services & Children’s Services policy framework expresses the values and
principles underpinning recording practice and ensures that the Data Protection Act is fully
implemented in the way the department records and shares information.
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DATA PROTECTION
Adult Services & Children’s Services IT strategies need to be explicitly linked with case
recording policies and procedures.
Development of new systems (manual and electronic) and approval for development should
be in line with corporate and departmental policy.
In addition to a policy framework which expresses the values and principles underpinning
recording practice, staff will receive guidance on best practice in case recording. The
Departments will ensure that training, awareness and guidance is readily available.
Adult Services & Children’s Services will ensure that personal information is disclosed only
with the consent of the subject (except where exemptions of the Data Protection Act 1998
apply).
Adult Services & Children’s Services will have adequate safeguards in place to ensure that
disclosure of personal information with consent will only occur in limited circumstances on a
need to know basis where it is essential and consistent with policy.
Adult Services & Children’s Services will regularly review and maintain this policy document
and related procedures.
12.3
Roles and Responsibilities for Adult Services & Children’s Services Staff
12.3.1 IS Manager, Operations Manager/Data Protection Coordinator.
It is the responsibility of the IS Manager and Operations Manager/Data Protection
Coordinator to ensure that in Adult Services & Children’s Services Department there is
adequate computer security and compliance with the relevant legislation.
It is the responsibility of the Operations Manager/Data Protection Coordinator to provide
security procedures so that users of computer facilities are aware of their responsibilities.
These procedures will be reviewed in order to respond to changes in legislation.
12.3.2 Area Lead Service Managers and Assistant Directors
Lead Service Managers and Service Managers must ensure that these guidelines are
understood and followed by all staff using computer systems and facilities within their
geographical area/section.
12.3.3 Administration and Process issues
Access Administrators, both in Areas and Centrally have a responsibility to monitor and
respond to requests and to apply the established policy and procedures for access grants.
Human Resources and Line Managers have a responsibility to send prompt and
appropriate notification about new starters and to ensure that access is removed when it is
no longer required or a member of staff leaves.
12.3.4 Managers
All Managers must ensure that these guidelines are understood and followed by all staff
using computer systems and facilities within their geographical area.
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DATA PROTECTION
Adult Services & Children’s Services Team Managers and Line Managers need to
demonstrate a commitment to case recording as an important part of the service to users
and carers and to ensure that policies and procedures are established. The commitment
should be explicit and reflected in recruitment, induction, training, performance appraisal,
auditing, monitoring and review.
All staff using computer facilities and systems must be trained in their use and sign a
Information Services Security: Form of Undertaking Appendix 5. It is the responsibility of the
person authorising access to ensure that adequate provision for training is made.
12.3.5 Key Workers
Key Workers will abide by the principles outlined in this document and will:





advise their Users on the ways in which User information is used and shared
reaffirm the principles of confidentiality
proactively share the User’s records with the User
maintain the standard of data recording
ensure that User information is safe and secure at all times
For every open case there should be a named Key Worker who is responsible for ensuring
that the paper and electronic User files are maintained and that information is promptly
recorded.
The Key Worker is responsible for the case record and is accountable to his or her line
manager for ensuring that the management and quality of that record is in line with the
standards set out in this document.
The Records Management Officers will ensure that Departmental records management
policy and guidance are consistently applied to all records in an Area Office and its managed
units and will particularly focus on the management of manual records and ensure that they
can be located and retrieved within the prescribed timescales, that they conform to the
specified file structure and are stored securely.
12.3.6 All Staff
All Staff working for Adult Services & Children’s Services who have access to information
about individual Users have a duty of confidence. The individual’s right to confidentiality
must be respected. Personal information must be treated with care and this means not
disclosing it to people who do not need to know. In normal circumstances the consent of the
information provider will always be required for the disclosure of information to third parties.
Subjects and donors must be satisfied that information supplied for social work purposes will
not normally be disclosed without their permission.
All staff are required to be familiar with the law and this policy and procedures guidance and
will be subject to supervision which will include the review of the quality of recording against
standards identified in this document.
All staff will comply with corporate standards for the use of e-mail and the Internet. These
standards can be found in Hantsweb. (See also Appendices 1 & 4 for further details)
All Staff are responsible for ensuring that records are kept up-to-date and the maintenance
of records is a high priority for all teams and units.
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DATA PROTECTION
All Staff who receive an enquiry from the media about a service user related matter must
refer the enquirer to the Adult Services & Children’s Services Press Officer.
Maintaining Security
All Staff using electronic and/or manual records must be aware of and comply with :


The principles of the Data Protection Act 1998
The specific requirements of Hampshire County Council and HCC Adult Services &
Children’s Services
Caldicott Principles
Staff using electronic information systems must be aware of and comply with:

The principles of the Computer Misuse Act 1990
The principles of the Copyright, Designs and Patents Act 1988
Key principles are shown below:
The Data Protection Principles
1. Personal data shall be processed fairly and lawfully.
2. Personal data shall be obtained only for one or more specified and lawful purposes, and
shall not be further processed in a manner incompatible with that purpose, or those
purposes.
3. Personal data shall be adequate, relevant and not excessive in relation to the purpose or
purposes for which they are processed.
4. Personal data shall be accurate and, wherever necessary, kept up to date.
5. Personal data processed for any purpose or purposes shall not be kept for longer than it
is necessary for that purpose or those purposes.
6. Personal data shall be processed in accordance with the rights of data subjects under
this Act.
7. Appropriate technical and organisational measures shall be taken against unauthorised
or unlawful processing of personal data and against accidental loss or destruction, or
damage to, personal data.
8. Personal data shall not be transferred to a country or territory outside the European
Economic Area unless that country or territory ensures an adequate level of protection
for the rights and freedoms of data subjects in relation to the processing of personal
data.
The Computer Misuse Act 1990
This Act introduced offences in relation to computer security.

It is an offence to logon to a computer where there is no authority to do so (Even though
the motive is only curiosity)

It is also an offence, even while logged on legitimately, to access parts of the system
which are not covered by the existing legislation. (Even though the motive is only
curiosity).
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
RECORDS MANAGEMENT &
DATA PROTECTION
A more serious offence is committed if, in either of the two cases above, the motive is
malicious.
The Copyright Designs and Patents Act 1988
This act provides the same rights to authors of computer programs as to those of literary,
dramatic and musical works. It permits the author to charge a fee for the publication or
performance of the work in question; copyright is normally assigned to the company who
employs the author(s). Copying, publishing or adaptation of software is an offence.
Therefore, it is definitely an offence to copy a program for several users in a company
without gaining specific authority from the copyright holders.
All Adult Services & Children’s Services Staff are responsible for the safe keeping and
storage of records and it is expected that All Staff will abide by the following principles.
i)
ii)
iii)
iv)
v)
vi)
Files must not be left on desks overnight
When not in use paper files must be stored away in lockable cabinets
When not in use computer files must be closed and subject to password security
When in use files must not be left unattended for passers by to observe
Paper files in transit must be enclosed in appropriate envelopes and marked
confidential
Files must not be displayed in public places (eg on trains) or left in vehicles at any
time
Confidentiality
i)
ii)
iii)
viii)
x)
The aimless scanning of personal records or browsing through files is forbidden.
Use of personal data should be related solely to work procedures.
Do not mislead others about the reasons why they are providing information, how it
will be held and with whom it will be shared.
The passing of information from the system to any person not entitled to such
information is forbidden. Knowingly making available information from the systems to
such people may result in disciplinary proceedings.
Confidential information should not be released as the result of a telephone enquiry.
The identity of the caller and the telephone number should be established and an
offer made to call them back. The authenticity of the caller can then be checked by
reference to the telephone number and it can be verified that they are entitled to the
information before calling back.
It may happen that a member of staff becomes aware of information relating to
people known to him/her personally. The confidentiality of this information should be
respected and not divulged unless required in the course of their work. In all cases
of doubt, a supervisor should be contacted.
All data must be as accurate as possible: regular verification of data and culling of
obsolete records must be carried out on all records to ensure that data is correct,
complete, up-to-date and not held for longer than necessary.
Only hold data which is relevant for work purposes. Do not elaborate!
Adequate steps must be taken to safeguard data from loss or corruption.
13.
DATA QUALITY STANDARDS
iv)
v)
vi)
vii)
Case recording policy and procedure, the resulting case records and access to them are all
part of our services to users and carers.
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DATA PROTECTION
This section picks out some key features of quality data. Further detail and examples
addressing particular User groups can be found in the “Recording Practice Guidelines”
section.
13.1
Accuracy and Completeness
It is expected that records will be accurate and complete.
Inaccurate or incomplete records will jeopardise a consistent standard of care for the User
and may even put them at risk.
The User has the right to request correction of any factual inaccuracies. Where the User
and Case holder disagree about recorded facts, the User’s view should be recorded.
Elements of data recorded in electronic systems are used to supply Management
Information, for the purposes of planning and commissioning and for statutory returns which
may influence the amount of grant received by the department. Inaccurate, or incomplete
data will have an impact on all of these.
13.2
Clarity and Style of Language
The User’s record should be written as if the User were reading it with you.
Language should be clear, concise and free of jargon. Abbreviations should not be used.
User files should reflect anti-discriminatory practice and demonstrate sensitivity to the needs
of all people in the community.
Accurate and respectful language should be used.
A professional standard of language in the User’s file is expected at all times. If derogatory,
or offensive terms are used in any part of the User’s record, disciplinary proceedings will be
considered. You should note emails are also considered part of a user’s records please
follow the link to the Corporate guidance notes (appendix 4)
13.3
Timeliness
Every contact with a user, or about a user must be recorded within one working day. This is
necessary because memories are unreliable and accurate recording is essential.
When there are changes in, for example, the User moves to another address, or dies, this
must be recorded promptly.
The recording of death is of particular importance because of the potential to cause distress
to families. Deaths should be recorded in SWIFT as soon as we are informed.
In exceptional circumstances where delaying recording is necessary, the reasons for the
delay must be recorded.
13.4
Recording Decisions
Any decision that affects the user and signifies the department’s intentions towards the user
must be recorded on the form appropriate to the situation.
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The people involved in making the decision should be identified and the reasons for making
the decisions should be clear.
If there is a link between the decision made and departmental policy, legislation or research,
this should be explained in the record.
The person responsible for the decision should make the record.
However, there will be occasions when decisions are made in meetings. In this event the
decision should be recorded by the Key Worker in the profile note, together with information
about the date the meeting was held and the nature and purpose of the meeting.
13.5
Recording the Sharing of Information
When information has been shared with another agency, or organisation, this should be
recorded on the User file.
Case records should also contain details of when service users and carers have seen and
been offered and/or given copies of papers.
13.6
Monitoring
Managers will ensure that practitioners achieve good professional standards and adhere to
Adult Services & Children’s Services policies and guidance by routinely monitoring the
quality of case records and efficiency of case recording practice.
14.
TRAINING AND AWARENESS FOR STAFF
14.1
The nature of the requirement
Effective records management requires an integrated approach to improving performance.
Thus alongside developing the systems and processes, the techniques and equipment, it is
essential that the knowledge, skills, attitudes and behaviours of the staff who operate and
influence the systems are similarly developed and addressed.
In order to achieve this, the training and development will be a multi-faceted approach which
is firmly set in the Performance Development and Supervision framework, emphasising that
the line management responsibility for managing and developing staff is paramount.
To support managers and staff in achieving the standards and development required, a
range of mechanisms will be available, including information and guidance, an induction
checklist as well as a range of courses and specific interventions. All training and
development will encourage a positive attitude to Records Management. It will set the
activity in a context where staff are able to recognise that caring about effective data
recording and management is an essential way in which they truly care about their Users.
14.2
Induction
All new starters requiring access to Hampshire County Council electronic systems will attend
a one day Information Services induction before being given their USERID
A local induction will be arranged by the manager to set the scene for the new recruit.
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RECORDS MANAGEMENT &
DATA PROTECTION
The importance of and attitude to recording and Managing data will be demonstrated by the
manager during the induction process and subsequently.
It is essential that managers design a comprehensive local induction specific to the role of
each new recruit that enables a recruit to conclude that:




Careful records management matters very much
Managers will check individual recording practice frequently at first and continue to
monitor standards actively
It is a written objective that will be reviewed in Performance Development interviews
Staff receive support through a variety of means to reach the required standard.
Coaching by the manager, reading documentation and guidance, peer group support and
local team development activities will be most effective in promoting quality records
management.
14.3
Performance Management
The departmental objective of achieving the standards set for data recording quality,
maintenance and storage will cascade through the Performance Management system.
The objective will appear in the Performance Objectives and Development Plans of all
relevant senior, middle and first line management and finally in the objectives and
Performance Development plans set for each individual according to their particular
responsibilities.
Initiatives will combine and reinforce one another to introduce a monitoring aspect within the
approach to records management, training and development. The Information Governance
Team objectives will be used as part of the documentation submitted for Investors in People
assessment. For this purpose an audit will be conducted with respect to Performance
Development and Records Management through the department.
14.4
Competencies
Training and development strategies will move towards a competency based approach.
When recruiting, attention will be paid to developing Role Profiles and Person Specifications.
This will enable the recruitment of staff whose knowledge, skills and attitude is
commensurate with achieving the desired competencies, supported by an appropriate
induction and development programme.
15.
MONITORING AND ENFORCEMENT
15.1
Monitoring
Monitoring will be carried out at a number of levels
15.1.1 Monitoring of systems access and use
A regular audit of systems accesses will be carried out to ensure that these are appropriately
applied.
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RECORDS MANAGEMENT &
DATA PROTECTION
Incidents of users leaving machines logged on, or repeatedly trying to gain access to
systems where they have no authorisation are monitored and followed-up.
Line managers will ensure that the security and confidentiality principles in this document are
known and understood by their staff and will monitor the application of these principles.
15.1.2 Monitoring of recording standards
Line Managers will monitor recording standards in regular supervision sessions with staff.
Case file audit tools will be available to assist with this.
The tools to audit both recording and practice quality are contained in Quality
practice case file auditing policy and procedure (adults)(23/05).
Regular “spot check” audits will be carried out across the County to ensure that recording
standards are being maintained. Results of monitoring will be routinely reported to Area
Centres and to Headquarters.
Regular production and analysis of accuracy reports for key items of data, followed by
correction of inaccurate/incomplete data where this is identified.
Feedback from training sessions and workshops which highlights issues will be monitored
and reported through the appropriate channels.
To help assess the quality of recording the Social Services Inspectorate in “Recording with
Care” (published 1999) suggests the following criteria:

Poor. No record of work, or it is so partial it is of little value

Weak. The record indicates the dates the people were contacted/seen and gives brief
details of actions taken/ decisions but is incomplete or superficial.

Good. The record indicates the dates, purpose and outcomes of contacts (i.e.
meetings/interviews/ telephone conversations) and who was present. It presents all the
information and at intervals brings it together as part of the assessment, planning and
review cycle.

Superior. In addition to the requirements for good recording it presents all the salient
information, both past and present, about the service user/child and family. This
information is analysed and used as a basis for deciding what the current risk to service
user/child; what plans need to be made to reduce risks and rationale for these; details
the work being offered to the service user/ child and family, work being undertaken and
by whom.
15.2
Remedial Action
Where failure to comply with the principles of this document can be seen as a lack of
awareness or understanding, this should be rectified immediately with the appropriate
training and guidance.
Where there is failure to comply because of some system failure of a system, or lack of
appropriate facilities, this should be reported immediately through the appropriate channels.
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RECORDS MANAGEMENT &
DATA PROTECTION
Where there is repeated failure to comply, or deliberate misrepresentation or noncompliance with the policies and principles outlined in this document, then sanctions will be
considered.
15.3
Sanctions
Where it is observed that there is a breach of security procedures, depending on the
severity, access to electronic systems, data and equipment may be withdrawn and
disciplinary measures taken.
Unless employees can show that they acted in good faith, disciplinary procedures will be
considered where confidentiality has been breached.
Repeated failure to comply with the standards for recording of User information may result in
disciplinary action.
Deliberate misuse of information may result in dismissal.
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16.
RECORDS MANAGEMENT &
DATA PROTECTION
GLOSSARY
ACCESS
ARCHIVE
CULLING
DATA PROTECTION
COORDINATOR
DATA SUBJECT
Ability to use different systems. Access is only
granted by authorised personnel to staff who will
need to access systems regularly as part of their
role.
To copy files to a long term storage medium when
these are no longer required for regular use, but
should not be deleted.
Destruction of electronic or manual records
according to retention and deletion criteria.
Responsible for policy and procedures relating to the
security and handling of information and checking
compliance with the Data Protection Act.
Any individual who is the subject of personal data
DATA USER
Any member of staff authorised to process or use
personal data held by the department
ISO
Information Services Officer – Support, Training,
KEYTEAM
A team linked to a budget. A User file in SWIFT is
placed in a Key team which will relate to the
team/budget which will provide the bulk of the
services for that User. (Eg. Havant Older Persons
Team).
PC/PERSONAL COMPUTER A computer, comprising screen, keyboard and local
processor, which is able by virtue of additional
programs, to process data locally without using the
facilities of the network
PERSONAL DATA
Any information from which a living individual may be
identified, including, for example, any expression of
opinion or data stored on a word processing file, or in
a manual file for future use or reference.
PROFILE/GROUP
Staff will be allocated a user profile which describes
their role, work base type. the group defines the
levels and types of information they can access and
document restrictions which should be applied
RMO
Records Management Officer
RESTORE
If a electronic file is deleted in error IT services must
be contacted for a restore
SYSTEM USER
A member of staff who uses our systems
USER
A member of the public for whom we are providing
services
USER FILE
The computer and paper file which contains the
complete User record
LOGON ID/ Hantsweb ID
A computer user’s code name identity, used to gain
access to HCC’s computer network systems.
VIRUS
Computer programs with the ability to corrupt other
programs and data
WIN TERM
A computer, comprising a screen and keyboard,
which can only process data if connected to the
central network via communication links.
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APPENDIX 1
Guidance for Outlook users
1. Outlook users are expected to apply the same conventions and procedures to Outlook
as they would to other forms of communication.
2. Authorised Outlook users must have at least basic training in the use of Outlook.
3. Managers should not share their passwords with other so that they can maintain their
diaries. Outlook has an inbuilt facility for diary sharing for this purpose. (Contact the
Helpdesk for further advice).
4. Increased use of Outlook has led to many users returning to an excessively large in –tray
after a period of absence. All users can help to reduce this by:





Using the Away facility
Avoiding copying notes and documents to a wide audience just in case they are
interested. Restrict distribution to those users who have a genuine need to know.
If a member of staff is unexpectedly absent, for example on sick leave, a “Away”
message can be set up on their userid. (Contact Helpdesk for further advice).
Outlook in-trays should be opened at least twice daily, or when absent an “Away”
message should be set up.
All Outlook users must maintain Outlook calendars so that other users can make full
use of the facility. However, there are occasions when care needs to be taken when
adding personal data to a diary entry in Outlook.
The Information Commissioner, who is responsible for compliance with this Act, has asked
us to remind staff that they should be aware of the data protection legislation in relation to
personal information when using the Outlook diary facilities. Staff are reminded that they are
required to work according to the eight principles of the Data Protection Act 1998.
All information that is included in your meeting notice can be read by any other Outlook user,
unless for example, you mark your notes as `Private'.
It is recommended that on certain occasions you should use the `Private Appointment'
facility, particularly if sensitive personal data is part of the entry e.g. a disciplinary case
meeting. When entering the meeting title or adding details containing personal data
(anything that identifies a living individual) as part of scheduling an appointment with other
Hantsweb 2000 users, take care.
Examples:
· Setting up a meeting to discuss a User, or a member of staff - the subject box
should not contain the name of the User unless your note is being sent to a
restricted audience. (e.g. between solicitors). Only as much information as necessary
in order to identify the case/User or meeting purpose should be included in the title
line. Try to use initials, an abbreviation, perhaps a case number, or file reference, or
more general description. You may also wish to mark the entry as Confidential or
Private. If you add names or anything that identifies the User when entering
additional information, you need to be aware of the need to maintain confidentiality,
and must tick the `Private Appointment' box located at the bottom right hand of your
screen when creating your meeting note.
You may wish to advise a manager if your meeting is out of normal office hours, or in
the home of a User. Another person should be aware of the location and times if your
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meeting is one to one, or perhaps within a family group and away from the office.
Providing information such as `Home Visit' and a case number in the meeting/diary
entry will enable others to track your commitments when you have early morning or
evening work appointments.
· You may choose to tick the `Private Appointment' box if you are attending a
hospital appointment or visiting the dentist and do not wish others to see this
information.
These guidelines are intended to help you understand the need to consider which of
the facilities you should select when using the diary in Outlook. Contact your
departmental data protection co-ordinator if you require further assistance.
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APPENDIX 2
Ethnic recording policy
For complete information read document 31/98.
This procedure is to assist our commitment to equity and best practice as outlined in our
Race Policy Statement.
We are committed to;
“Combating racism. Failure to observe this stance in the workplace will result in disciplinary
action.
All staff taking positive action to eliminate discrimination in service delivery linked to a
person’s racial and ethnic background.
Ensuring that members of black and ethnic minority groups are seen as individuals and not
in terms of racial stereotypes.
Providing services that will be culturally appropriate and equally accessible to those who
need them. No one will have to refuse or forfeit services because his or her cultural, religious
or dietary needs are different or unusual.
Ensuring the quality of the service is the same irrespective of the racial origin, culture,
religion and language of the recipients.”`
The recording process;
The person collecting the information says
“ We now ask all users of our services about their ethnic origin. This helps us to plan
services that meet the needs of all groups in the community. Could you please indicate what
you consider to be your ethnic origin? “
The user indicates his or her response verbally or with a mark.
The response is entered onto the appropriate form. The response may be requested but
unable to provide.
This may be in SWIFT or paper form.
Please note it very important to record this sensitive information accurately.
http://intranet.hants.gov.uk/social-services/equalities-2.htm
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APPENDIX 3
REQUESTING SYSTEM ACCESS – ‘ONE STOP SHOP’ – FOR YOUR USERID AND IT
SYSTEMS ACCESS REQUIREMENTS
The ‘One Stop Shop’ Userid Request form includes access to the following:
Hantsnet Userid

Outlook

MS Office, eg Word, Excel etc

Swift

SAP – Finance

E Works and Other Specialist Applications

Automatic nomination for IS Induction Course, initial Swift Training Course and SAP
Overview
Managers are reminded that requests to provide a new/change of user ID should be
submitted in plenty of time to ensure the ID & Training is available when new staff join
the team.
User ID Request Form - including changes, deletions, enabled/disabled userids etc
What to do when you have a new member of staff, someone leaves or moves to
another team
The IS Section has an electronic form which is available online for requesting User IDs
(including changes, deletions, enabled/disabled userids etc) and relevant systems
access including automatic nomination for IS Induction Course, initial Swift Training
Course and SAP Overview.
This intuitive form offers a simply and speedy method for you to submit your user ID
requests. System accesses include Outlook, Swift, E Works, SAP Finance and Other
Specialist Applications.
You will need to request SAP HR access (including ESS and MDT) using the HR form
accessed via the SAP link on the Adult and Children’s Services home page and send to
your usual HR contact. A link to instructions for SAP HR/ESS access is provided for you
in a confirmation email sent at the end of the new form each time you submit it.
Please note, although Swift access must be requested at time of submitting Userid
Request, access is not granted until appropriate Swift training has occurred.
The link to the request form can be found by choosing Adult and Children’s Services
Homepage from your main Hantsnet homepage, then choose Process (Forms). The
same form is available via several names in the Process (Forms) intranet page to make
it easier to find, eg Userid Request form, Deletion of a Userid Request form.
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Here it is!
For external users
A Userid Request form can also be accessed externally via the web for those who do not
have access to Hantsnet. Details below:http://eformsext.hants.gov.uk/AF3/an/default.aspx/RenderForm/?F.Name=PzzZP4Rb2vH
However, for requests made via this route, please note that SAP access and Swift
Training will need to be requested via the existing routes. Links to the appropriate
nominate/instruction pages for SAP access and Swift training are provided for you at the
end of the form each time you submit it.
If your external Network does not allow access to this form or you have any problems
using it, please contact IT Help who will raise a Heat call to contact the Support team.
And finally, but just as important…….
Please do remember to submit a 'Delete an ID' form when staff leave the
Department to ensure all accesses are withdrawn.
There are many tasks to do when someone leaves your team, it is important that you
don’t forget the IT systems at this time. There is a £420.00 pa charge for each Hantsnet
(IT2000) account Similarly we are charged licence fees for SAP and SWIFT and we
need to be prudent in closing these accounts down when a person leaves. Delete a
Userid Request forms can be found in the same location as requesting a new Userid
form.
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If a Userid is unused for 45 days, then the Userid will be disabled for a further 30 days at
which time the Manager will be contacted to see whether there is a genuine reason for
the Userid to remain disabled eg long term sickness. Unless otherwise advised, the
Userid will then be deleted.
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APPENDIX 4
Guidance for use of Internet and E-mail
Personal Data in e-mails
In accordance with the 1998 Data Protection Act, you will have to disclose personal
data contained in e-mails which you have filed if Hampshire County Council receives
a subject access request from an individual who suggests that it is likely that you will
have copies of e-mails sent, or received, containing personal data about that
individual.
If you act unlawfully you may face disciplinary proceedings and possible prosecution.
When creating an e-mail using Hampshire County Council applications it is important to
follow these guidelines:
· Take care about the content of your e-mail.
If you are processing personal data about someone else do not express opinions or
add comments that you would not be prepared to share with that person, or put in a
formal letter. When a Subject Access Request is received you may be required to
disclose personal data contained in your e-mails, unless an exemption within the
Data Protection Act applies.
· Remember to check the title line of your e-mail
As a general rule, User names or other identifying personal details relating to them
should not be included in the title line. It may occasionally be necessary to place
User personal information in the title line but the audience should be restricted. (e.g.
between solicitors, or on a need to know basis between a User department and a
member of Treasurer's assessment team). Only as much information as necessary in
order to identify the case/User should be included in the body of the email text. It is
however essential that enough accurate details are provided in order to deliver the
service to the correct User.
· Think about marking emails as `Confidential'
When necessary mark emails as Confidential and consider reminding recipients not
to forward the note without reference to the sender.
· Be aware your note can be passed on to others by the recipient and perhaps reach
a far wider audience than you intended.
· If you do save any electronic records containing personal data (e.g. e-mails and any
form of attachments), your intention is to process the document at a later date.
· Always question why you are saving an e-mail.
When you have finished the processing required on an individual, delete the data
unless you intend to archive the note electronically.
· Be aware that personal data should not be kept longer than necessary under the
Data Protection Act 1998. (Principle 5)
· Review the content of note-logs/sent items regularly and delete those that are
obsolete.
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· There should be no reason to retain e-mails containing personal data permanently.
If it is essential to retain the note, print it and place the note on a file where it will be
reviewed as part of the retention process. However, if you use electronic filing and
archiving facilities remember that these documents are also covered by retention
policy requirements.
· You are responsible for managing your electronic data.
This guidance should be read in conjunction with the corporate guidance on using email and any departmental policy.
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APPENDIX 5
- Adults & Children’s Services Departments
Information Services Security: Form of Undertaking - Individual
UserIDs
Name: Internal Name
You have been issued a personal Userid UserID
The Adult & Children’s Services Departments currently use various computer
systems which contain information of a confidential, sensitive or personal nature. It
is vital that only those people who need such information in order to carry out their
work have access to the information. Security of the information held on the
Departments’ computer systems is achieved by the issue of personal userids and
passwords to members of staff who need access. These userids and passwords
control the level of access granted to each individual to each system It is, therefore,
important that you read the procedures: “Records Management and Data Protection
Act 1998 policy and procedure” and “Computer Security & Data Protection
Guidelines”
All users should additionally be aware of Corporate guidelines for the use of e-mail and
other Information Systems including the internet. These procedures can be found in the
County’s web pages under IT Security within the IT Information section.
DECLARATION
I have been directed to the departmental procedures: “Records Management and Data
Protection Act 1998 policy and procedure” and “Computer Security & Data Protection
Guidelines”. I acknowledge that I must abide by these and other corporate and
departmental guidelines governing the use of Information Systems. I also acknowledge my
password for access to computer systems is personal to me and must not be divulged to
any other person. I appreciate that contravention of computer security may be a disciplinary
offence.
I accept that my access to computer systems may be revoked or adjusted if my employment
changes or if I contravene these procedures.
I have been made aware under the Hampshire County Council e-mail, Internet, Intranet and
Monitoring Policy that in the event of absence or leaving the Department or Authority my
user account may be accessed and that all personal information should be removed at the
earliest opportunity.
Signed:
_____________________
Date: ____________
Designation:
____________________________________
Work base/Agency: ____________________________________
After you have signed this form, please return it to the trainer.
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APPENDIX 6
Courses supporting effective records management can be found on the Hampshire Learning
Centre Link below
http://www3.hants.gov.uk/learningzone.htm
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APPENDIX 7
Full List of Legislation
Adoption and Children Act 2002
Adoption Agency regulations 1983 (still in force in some respects)
Adoption Agency Regulations 2005
Arrangement for Placement of Children (General) Regulations 1991
Association of Directors of Social Services, Draft Code of Practice Autumn 1999
Carers (Recognition and Services) Act 1995
Children Act 2004
Every Child Matters
Children’s Homes Regulations 1991 (no longer current but still referred to)
Choosing with Care – Report of the Committee of enquiry into selection, development and
management of staff in Children’s Homes 1992 DOH
Computer Misuse Act 1990
Copyright, Designs and Patents Act 1988
Data Protection Act 1998
The Data Protection Act Explained, James Mullock and Piers Leigh – Pollitt
Data Protection Act 1998, Guidance to Social Services March 2000
Local Authority Circular 88 (17) Personal Social Services Confidentiality of Information
Mental Health Act 1983
National Health and Community Care Act 1990
Protecting and Using Patient Information, NHS Executive 1999
Recording with Care, Social Services Inspectorate 1999
Care Standards Act 2000
Care Homes Regulations and National Minimum Standards
The boarding-out of Children (Foster Placement) Regulations 1988
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Hampshire County Council And Adult Services & Children’s Services Department
References
Joint Approved List Of Domiciliary (Personal) Care Providers:
Terms And Contract Conditions
Safeguarding Our Children
The policy and procedural requirements of Hampshire, Isle of Wight,
Portsmouth and Southampton Child Protection Committees 2004
http://www.4lscb.org/userimages/4ACPCProceduresApril04.pdf
Mental Health Practice Handbook 1983
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APPENDIX 8
List of relevant leaflets, guides, systems manuals and who gets them;
Manual/ leaflet/ guide
Distribution
Your Records leaflet
Records Management Officers
SWIFT Manual
On-Line
Care management competencies
Available to Team Managers and Key
Workers in Adult teams.
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APPENDIX 9
File Structures
File Structure for Occupational Therapy (ALL Sections to be filed in Book Form only)
1
Key Information
2
Departmental Administration
3
Recording
4
Legal
5
Reviews
6
Correspondence
7
Third party information / Confidential
8
Finance
9
Any other paperwork
10
CR1, CR2, CR3, CR10, permission to share, current Gen 2 and assessment
DP1, DP2, DP3, DP8, DP9, DP15, request to Environmental health for disabled facilities grant,
equipment request forms. Hoist record of issue.
CR6a, CR6b, previous Gen 2 and assessments
Any legal papers
Any review paperwork
Subject Access Request (CR11) paperwork
Any information in this section will require the permission of the author, prior to
disclosure.
To be divided into 2 sections:
a) Confidential
b)Legal Privilege – do not disclose, seek management advice
DP14, DP19
Housing Plans and adaptations
Any e-mails should be filed in the relevant section according to
content
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File Structure for Nursing Homes (ALL Sections to be filed in Book
Form only)
1
Key information (Current Information)
Resident personal details, Next of Kin, permission to share, Swift Assessments
2
Departmental Administration (Current and
Historic)
Initial Assessments, Swift details, Term’s and Condition’s, CT returns, old care plan
3
Recording (Historic)
Daily Diary Notes, GP recordings
4
Medical/Care Assessment (Historic)
Barthel, Waterlow, Moving and Handling, Occupational Therapy,
Medication, Nutrition, Night Assessment, Continence Assessment, Observations
5
Reviews (Historic)
In house(6 weeks), Care Management
6
Correspondence ( Current and Historic)
All general letters not relating to other areas in the file, Subject Access Request (CR11)
paperwork
7
Confidential (Current and Historic)
8
Complaints ( Current and Historic)
Any information in this section will require the permission of the author prior to publication
To be divided into 2 sections:
a) Confidential
b)Legal Privilege – do not disclose, seek management advice
Details of complaints, action taken, resolutions
9 Financial
10 Legal ( Current and Historic)
SAP information, assessment from income, power of attorney
Reg 37, Property Discharge, Any legal papers, CSCI returns
Any emails should be filed in the relevant section according to
content
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File Structure: Child’s Adoption File (ALL sections to be filed in book form
only)
1
2
Key Information / personal details
3
Recording/Contact Sheets
CR1, CR2, CR3, CR10, Gen6, Current Gen 2
Departmental Administration/Finance (Separate
finance file to be set if there is an ongoing adoption allowance – copies on this file)
Orders, finance CR26, VA3, CC11, CC12, CA9, CA10, DP1
CR6a, CR6b, CR8, Form E, chronology-unless confidential
4
Legal
5
Reviews / Stat reviews of child placed for
adoption
if necessary open a separate file, all items from date adoption became plan (only do this if
amount of paperwork warrants another file).
Court orders, legal advice form, copies of birth certificates, consent to adoption AF222,
court application forms (adopters), court notification of adoption order.
To be in chronological order; also Minutes of meetings, consultation documents, planning
meetings, inter area agreement AF232
6
Correspondence
7
Third Party information/confidential
8
9
10
Adoption Information Exchange
All correspondence unless confidential; notifications of placement/ adoption Forms AF229,
AF244. Acknowledgement AF222c
Complaints, Police Checks, Education ,Health reports. Panel Decision AF218, Minutes of
Panels, memos from panel, Schedule 2 report.
Copies of A1E forms
Other Items
e.g. Copy of Life Story Work
When closing file ensure all paperclips and plastic pockets are removed (use manila envelope if
hole punching not possible). Also destroy Police Checks and Panel Agendas. Form F (adopters)
should not be on this file unless the adopters are from another agency. In which case file report in
sec 7 – confidential.
Any emails should be filed in the relevant section according to content
Amended 10/06
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File Structure for Closed Adopters File (ALL sections to be filed in Book Form only)
1
Key Information/Personal Details
CR1,CR2,CR3,CR10,Gen6,Current Gen 2
2
Departmental Administration/Finance
3
Recording/Contact Sheets
Orders, finance CR26, VA3, CC11, CC12, CA9, CA10, DP1
CR6a, CR6b, CR8, Form F, (not referee visits)
4
Legal
5
Reviews / Stat reviews
6
Correspondence
Court notification of adoption order. Any other relevant legal documents, consent
CA14.
Copies of reviews on child placed for adoption, Minutes of Meetings, Consultation
documents, Planning meeting, Inter-area meeting AF232. Six month updates AF220.
All correspondence unless confidential.
7
Third Party information/ confidential
Complaints, Police Checks, Referee reports AF210 (a +b); Panel Decision AF218,
Minutes of Panels, Panel memos, Schedule 2 report.
8
9
10
When closing file ensure all paperclips and plastic pockets are
removed (use manila envelope if hole punching not possible). Also
destroy Police Checks and Panel Agendas. Child Permanence report
(formerly Form E) on the child should not be on this file unless the
child is being placed by another agency.
Any emails should be filed in the relevant section according to
content
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File Structure for Adult Services (ALL Sections to be filed in Book Form only)
1
Key Information / Personal details
2
Departmental Administration
3
Recording
4
Legal Documents
5
Reviews
6
Correspondence
7
Third party information / Confidential
Current Care Plans and assessments signed by users, CR10, permission to share, current Gen
2
Referrals for other services, E2, DP1, day centre returns, previous care plans and assessments,
quality care reports, Health & Safety forms, risk assessments
Any written contact sheets not on Swift, previous Gen 2, previous referrals
Any contracts with providers etc, orders, court of protection orders, power of attorney evidence
Copies of review forms signed by user
Subject Access requests (CR11) paperwork
Any information in this section will require the permission of the author, prior to disclosure.
To be divided into 2 sections:
a) Confidential
GP medical form, Barthel chart, complaints, Nursing assessments, Health summary form,
incident reports (VIR), case conference minutes of meetings.
E10, E10a (adult abuse forms)
b)Legal Privilege – do not disclose, seek management advice
8
Finance
NRC temporary adjustments, SSD421, VA3, SAS4, SAS10, Panel applications & decisions,
Benefits Agency related paperwork
9 Occupational Therapy
10 Other Services
Hearing Impaired, Blind/Disabled Registration, Disabled Parking Badges, MOW, Residential
Units Records and Adult Placement
Any e-mails should be filed in the relevant section according to
content
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File Structure for Children and Families (ALL Sections to be filed in Book Form only)
1
Key Information / Personal details
2
Finance
3
Recording / Contact Sheets
4
Legal Documents
CR1, CR2, CR3, CR10, GEN6, Permission to share, chronology of events. Keeping track form,
Current Gen 2, current core and initial assessments
Orders / finance, CR2b, GEN10, VA3, CC11, CC12, CA9, CA10, CA54, DP1
Risk Assessments
In chronological order:
CR6a, CR6b, CR8, Assessments, CR5, CR7. Previous Gen 2, previous core and initial
assessments
If necessary open a separate file and cross reference on CR9 for location. See
separate filer structure for legal file
CR9, LAC parental agreement to accommodation form, court orders, copies of birth certificates.
Tribunals
5
Care Reviews - Non LAC/CP
6
Correspondence
7
Third party information / Confidential
Minutes of meetings, consultation documents, planning meetings
Access to records, volunteer job sheets, any other letters not relating to other areas of the file,
Subject Access Request (CR11) paperwork
Any information in this section will require the permission of the author, prior to disclosure.
To be divided into 2 sections:
a) Confidential
Complaints, police checks, CYP referrals, Educational Statements
Medical /Health VIR‘s
b)Legal Privilege – do not disclose, seek management advice
8
Looked After Children
9
Child Protection
EIR1 and EIR2 - it may be useful to keep these in a plastic sleeve as it should be in constant
use! Placement forms - plus all other LAC and DOH forms,
Statutory (ordinary) Reviews.
CP1, minutes of meetings
10 Other Services
Residential / Day Care / Family support teams / Family Link. For Adoption files use this section
for all AF forms
E-mails should be filed in the relevant section according to content
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File Structure for Children and Families (Swanwick Lodge)All files to be filed in
Book form only
1
Key Information / Personal details
2
Departmental Administration
3
Recording / Contact Sheets
4
Legal
5
Reviews
6
7
Correspondence
Admission details, Key names and addresses, Parent Consent Form, Record of Property.
Swanwick Lodge Care Plan, Swanwick Lodge Risk Assessment, Swanwick Lodge Positive
Behavior Management Plan
Initial Referral, Essential Information Record 1 & 2 (Welfare) Placement Plan Parts 1 & 2
(Welfare) Local Authority Care Plan (Welfare)
Assessment and Action Record (Welfare) Asset forms (YJB)
T1:V&VR (YJB) Post Court Report (YJB) T4 Supervising Officer’s report (YJB)
Contact Sheets
Chronology
Legal Module Form, Original Secure Order/Warrant
Regulation 15 Panel Decision Form
Secure Application Court Reports,
DTO Production Orders, DTO Pre-Sentence Report, YJB Sentence Calculations
Initial Planning Meeting Minutes, Regulation 15 Review Minutes (Welfare)
DTO review/Remand/Sec.91 review/Planning Meeting Minutes,
T1:AR (YJB), C&Y/P consultation Form (YJB) T1:P & T1:PR (YJB)
T2 (YJB) T3 (YJB) T4 (YJB) T1:FR (YJB), TC1:C(YJB)
Letters/E-mails/faxes, Subject Access Request (CR11) paperwork
Third party information / Confidential
Any information in this section will require the permission of the author, prior to disclosure.
To be divided into 2 sections:
a) Confidential
Third party information, Incidents Reports, Reports with privileged information Child Protection
Documentation,
b)Legal Privilege – do not disclose, seek management advice
8
9
Complaints
10
Medical
Education
Statement of Education Needs, Personal Education Plan,
Swanwick Lodge Education Report/Assessment
External Educational Reports
Admission and subsequent Body Maps, Authorization to give consent for Medical Treatment
Form,
Psychiatric/Psychological Reports, RTT Reports,
Swanwick Lodge Health Care Plan, SASH Forms
Mental Health Screening Forms, Swanwick Lodge Parents/Carers questionnaire
E-mails should be filed in the relevant section according to content
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File structure for Day Services (ALL sections to be filed in Book Form only)
1
Key Information/Personal Details
CR 1 - case file modules ,CR 2 - key information sheet
CR 3 - names and addresses, CR 5 - assessment sheet
CR 7 - reassessment sheet, Client support banding sheet
Permission to share form
2
Departmental Administration/Finance
MH 1
Assessment and care plan agreement
FMS orders
3
4
5
6
7
Recording
CR 6(a) contact sheets only
Legal Documents
CR 9 and copy of order
Reviews and meeting minutes
Correspondence
Subject Access Request (CR11) paperwork
Confidential/Third party information
Any information in this section will require the permission of the author, prior to disclosure.
To be divided into 2 sections:
a) Confidential
b)Legal Privilege – do not disclose, seek management advice
8
Assessment/Day service information
Timetables
IPPs
Session recordings
General assessments
Copies of non-medical referrals
Non-medical referral reports
Guidelines for supporting client
Care plans
Risk assessments
9
Health/ Medical Issues
Health/medical referrals/reports/assessments
SALT/OT/physio/dietician/art therapist - all WSHT referrals
Accident forms
10
Other Services
Event records. Respite. CR 6 (b). Residential Issues.
Any emails should be filed in the relevant section according to content
75
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Appendix 10
Information Sharing Protocols
http://www.hantsfish.org.uk/index/practitioners/practitioners-informationsharing.htm
76
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Appendix 11
Retention Schedule
http://intranet.hants.gov.uk/rh/recordoffice/rh-recordoffice-recordsmanagement/rhrecordoffice-retintro/rh-recordoffice-as.htm
Introduction
This is a collaborative document between Adult and Children’s Services Records
Management Service and the corporate Records Management Service based at Hampshire
Record Office. It is read-only and although it will be superseded in time, it should not be
revised and replaced without either party consulting the other. It is important that earlier
versions of retention schedules are kept long-term to provide an audit trail of decisions made
about record-keeping, for Freedom of Information purposes.
It is designed to give guidance to staff in all sectors of Adult and Children’s Services, as well
as the Records Management Officers who are dealing with retention issues on a frequent
basis.
To find a particular type of record select “Edit”, “Find” and type in the name of the type of
record you require and click on “Find Next”. Click on “Cancel” to exit.
77
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
CHILDREN AND FAMILIES
Adoption
Record of Adopted
Child: manual records –
individuals adopted
before 30 Dec 2005,
including step parent
adoptions
Record of Adopted
Child: manual records –
individuals adopted 30
Dec 2005 onwards,
including step parent
adoptions
75 y from date of Adoption
Order (or the date of birth of
the youngest child being
adopted, where more than
one child is on the same file,
whichever is the longer)
100 y from date of Adoption
Order (or the date of birth of
the youngest child being
adopted, where more than
one child is on the same file,
whichever is the longer)
Destroy
Adoption Agency
regs., 1983
Reg 14 (3)
Destroy
Record of child placed
20 y from closure of case (ie
for adoption but no order not long-term foster care)
made
Destroy
Record of Adoptive
parents
Destroy
The Disclosure of
Adoption Information
(PostCommencement
Adoptions)
Regulations 2005 2
(6)
Departmental
procedure based on
Adoption Agency
regs.
Adoption Agency
regs., 1983
Reg 14 (3)
Departmental
procedure
Departmental
procedure
(No statutory time
period)
75 y from date of Adoption
Order
Record of Birth parents
75 y from date of Adoption
Order
Birth records counselling 10 y from last contact with
(formerly Sect 51
client
records, Adoption Act
1976): clients adopted
outside Hants
Birth records counselling 75 y from date of Adoption
(formerly Sect 51
Order or 75 y from date of
records, Adoption Act
birth if date of adoption order
1976): clients adopted
unknown
within Hants before 30
Dec 2005
Birth records counselling 100 y from date of Adoption
(formerly Sect 51
Order
records, Adoption Act
1976): clients adopted
within Hants after 30
Dec 2005
78
Destroy
Destroy
Destroy
Departmental
procedure (to ensure
clients are not
deleted from
computer system)
Destroy
Departmental
procedure (to ensure
clients are not
deleted from
computer system)
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
CHILDREN AND FAMILIES (cont)
Adoption (cont)
Other post-adoption
service client records
Record of Adoption
Assessment withdrawn
or not approved
Records of Approved
Adopters who withdraw
Child Protection
Child Protection
investigation records
Child placed on Child
Protection Register.
10 y from last contact with
client
10 y after case closed
subject to discussion with
adviser
10 y after case closed
6 y from last entry or until 18
y old (or 15 y from death if
child is deceased)
43 y from birth (or 15 y from
death if child is deceased)
[each individual child]
100 y from date of birth or 3
y after death if known.
Schedule I Offenders’
lists
Children’s Home records
Individual case files (as
75 y from date of birth or 15
described in schedule 2 y from date of death
of the Regulations)
Destroy
As above
Review and
destroy if
no longer
required
Destroy
Departmental
procedure
Destroy
Departmental
procedure
Destroy
Departmental
procedure
Destroy
Departmental
procedure
Destroy
The Children’s
Homes Regulations,
2001
Reg 28
Children’s Homes
Regulations, 2001
reg 29 applies but
record may also have
historical research
value
Departmental
procedure due to
child protection
concerns
Departmental
procedure due to
child protection
concerns
Children’s Homes
Regulations, 2001
reg 29
Admission and
discharge register
Permanent
15 y from
closure:
transfer to
RMS to
review
Records of accidents
and violent incidents
75 y from last record
Destroy
Record of administration
of medicine
75 y from last record
Destroy
Record of every fire drill
or test
15 y
Destroy
79
Departmental
procedure
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
CHILDREN AND FAMILIES (cont)
Children’s Home Records (cont)
Menus of food served in 1 y
children’s homes
Children’s Homes
Regulations, 2001
reg 29
Children’s Homes
Regulations, 2001
reg 29
Destroy
Records of all money
and valuables deposited
by child for safe-keeping
15 y
Destroy
Record of all other
accounts relating to
clients
15 y
Destroy
Children’s Homes
Regulations, 2001
reg 29
Record of staff duty
roster
15 y
Destroy
Daily log of events in
home/ Message books
15 y or longer
After 15 y
transfer to
RMS to
review
Visitors’ books/registers
15 y
Destroy
Children’s Homes
Regulations, 2001
reg 29
15 y is minimum
statutory
requirement, but may
have long-term child
protection and
possible historical
value
Children’s Homes
Regulations, 2001
reg 29
Other records
Brochure/user guide to
home
2 copies: permanent
Transfer
one copy to
Social Care
Library at
HQ, and
one to RMS
Destroy
Inspection records
(originals)
25 y
80
Now kept by National
Care Standards
Commission
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
CHILDREN AND FAMILIES (cont)
County Manager for C & F
5y
Children’s Fund Board
minutes
General
6 y from closure of file or 3 y
Case files not already
from date of death
covered eg for
counselling or family
consultancy NOT
relating to adopted,
fostered, or looked
after children
Fostering
75 y from date of birth or 15
Records of children
y from date of death
(including records of
inspections by HCC of
privately fostered
children)
Transfer to
RMS to
review
Possible historical
interest
Destroy
Departmental
procedure and
Statute of Limitations,
1980
Destroy
The Boarding Out of
Children (Foster
Placement) Regs
1988 Reg 15; the
Children (Private
Arrangements for
Fostering)
Regulations, 1991
Fostering Service
Regulations, 2002
Departmental
procedure for child
protection reasons
(Law only requires 15
y - Fostering Service
Regulations, 2002)
15 y from last action
Destroy
75 y from date of birth of
carer (or 15 y from date of
death of carer or 15 y from
end date of last placement
whichever is longer)
Destroy
3 y from closure
Destroy
Departmental
procedure
10 y from closure
Destroy
Departmental
procedure
Accident records
Record of foster
carers or other person
paid an allowance for
looking after a child
(including private
foster carers, family
link carers and kinship
carers)
Application for foster
care not pursued any
further
Withdrawn application
or refused registration
81
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
CHILDREN AND FAMILIES (cont)
Looked After Children and Related Orders
Case files for children in 75 y from date of birth or 15
care where Hampshire
y from date of death.
is the responsible
Where there is more than
authority, including
one looked after child in a
respite care and prefamily unit, retention is 75 y
1989 legislation, or
from date of birth or 15 y
otherwise looked after,
from date of death of
on a: care order,
youngest looked after child.
residence order,
custodianship order, or
supervision order
Client record for children 6 y + cy from end of service
who reside in
Hampshire but another
authority is responsible
Case file for child on
25 y from 18th birthday
Family Assistance Order
Youth Offending Team
a) 25 y from date of
files
birth*
a) Not looked
after/adopted/
fostered
b) Looked
b) 75 y from date of
after/adopted/
birth or 15 y from
fostered
date of death
(including new
clients)
YOT duty books
6 y from last entry in book
82
Destroy
The Children
(Leaving Care)
Regulations, 2001,
sec 10 and common
procedure
Destroy
Departmental
procedure
Destroy
Departmental
procedure
* Follow guidance
from Youth Justice
Board where records
relate to sex
offenders
Destroy*
Destroy
Departmental
procedure
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (all relevant sectors)
HCC records on Adult
Placement Carers
6 y after ceasing role; 25 y
after cancellation of
registration, or refusal to
register; or 3 y from date of
death, if sooner.
6 y after closure of file or 3 y
after death where no matters
outstanding
Destroy
Departmental
procedure
Case files for adult and
Destroy
older persons service
(excluding vulnerable
adults and mental health
service) users
Care Homes and Nursing Homes for adults including older persons
Case files for individual
6 y from closure of file or 3 y Destroy
service users (including from death where no matters
medical records)
outstanding
Admission and
discharge register
(monthly/annual)
3 y from last entry
Transfer to
RMS to
review
A copy of the statement
of purpose.
One copy: permanent
Other copies – 3 y from
becoming superseded
Transfer to
RMS to
review
A copy of the service
user's guide
One copy: permanent
Other copies: 3 y from
becoming superseded
Transfer to
RMS to
review
A record of all other
accounts kept in the
care home
Variable – 3 y minimum: see
Hantsnet
http://hantsnet2000.
hants.gov.uk/TC/ctdept/guid
e180400.html
Destroy
83
Departmental
procedure
Care Homes
Regulations, 2001,
sec 17 plus
departmental
procedure
Care Homes
Regulations, 2001,
sec 17 plus possible
historical value
Care Homes
Regulations, 2001,
sec 17 but also likely
to be of historical
value
Care Homes
Regulations, 2001,
sec 17 but also likely
to be of historical
value
Audit requirements
apply
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (cont)
Care Homes and Nursing Homes for adults (cont)
A copy of any report
3y
made under regulation
26(4)(c) (reviewing the
quality of care)
A copy of the duty roster 3 y from last entry
of workers, and a record
of alterations
(weekly/monthly)
Destroy
Care Homes
Regulations, 2001
sec 17
Destroy
Care Homes
Regulations, 2001
sec 17
Care Homes
Regulations, 2001
sec 17
Care Homes
Regulations, 2001
sec 17 plus audit
requirements
Care Homes
Regulations, 2001
sec 17
Day sheets/daily
reference sheets
3 y from creation
Destroy
A record of the care
home's charges to
service users
6 y from last entry
Destroy
A record of all money or
other valuables
deposited by a service
user for safekeeping
3 y from service user leaving
the home
Destroy
A record of furniture
brought by a service
user into their room
3 y from service user leaving
home
Destroy
Care Homes
Regulations, 2001
sec 17
A record of all
complaints made by
service users or their
representatives or by
persons working at the
care home and any
actions taken
10 y from last action
Destroy
Departmental
procedure
84
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (cont)
Care Homes and Nursing Homes for adults (cont)
A record of any of the
7 y from last entry where no
following events that
matters outstanding
occur in the care
home –
Destroy
Care Homes
Regulations, 2001
sec 17 plus Statute of
Limitations, 1980
(a) any accident;
(b) any incident
detrimental to the health
or welfare of a service
user, including the
outbreak of infectious
disease;
(c) any injury or illness;
(d) any fire;
(e) any occasion on
which the fire alarm
equipment is operated,
(except tests);
(f) theft/burglary.
Records of the food
provided for service
users and of any special
diets for individual
service users
(weekly/monthly).
3 y from last entry
Destroy
Care Homes
Regulations, 2001
sec 17
A record of every fire
practice, drill or test of
fire equipment (including
fire alarm equipment)
conducted in the care
home and of any action
taken to remedy defects
in the fire equipment.
3 y from last entry
Destroy
Care Homes
Regulations, 2001
sec 17
85
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (cont)
Care Homes and Nursing Homes for adults (cont)
A record of the length of 1 year from creation
Destroy
Format: print-out
from system.
Departmental
procedure
time taken by staff to
answer clients’ buzzers
A statement of the
procedure to be followed
in the event of a fire, or
where a fire alarm is
given.
One copy: permanent
Other copies: destroy 3 y
from being superseded
Send to
Social Care
Library at
HQ
Care Homes
Regulations, 2001
sec 17 but may be
needed to defend
against claims
A statement of the
procedure to be followed
in the event of accidents
or a service user
becoming missing.
One copy: permanent
Other copies: destroy 3 y
from being superseded
Send to
Social Care
Library at
HQ
Care Homes
Regulations, 2001
sec 17 but may be
needed to defend
against claims
A record of all named
visitors to the care home
(monthly/annual)
3 y from last entry
Destroy
Care Homes
Regulations, 2001
sec 17
Records of equipment
use and inspection (eg
boiler house)
6 y from last entry
Destroy
Audit requirements
Delivery notes
2 y plus current
Destroy
Audit requirement
Staff handover log
sheets
1 month from date of
handover
Destroy
Information should be
duplicated elsewhere
Photograph albums
showing life in the home
10 y from last entry
Possible historical
interest
Inspection records
(originals)
7y
Transfer to
RMS to
review
Destroy
86
Now kept by the
National Care
Standards
Commission
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (cont)
County Managers
Hampshire Domiciliary
Care Association
minutes
5y
Transfer to
RMS to
review
Held by County
Manager for Older
Persons – contracts
Direct payments policy
file
5y
Transfer to
RMS to
review
Nursing care investment
strategy project board
minutes
5y
Transfer to
RMS to
review
Held by County
Manager for Older
Persons: Ops
Possible historical
value
Held by County
Manager for Older
Persons: Delayed
Transfer of Care
Domiciliary care records
Details of every
10 y from last entry
allegation of abuse or
other harm made
against HCC care
workers including details
of the investigations
made, the outcome and
any action taken in
consequence.
Destroy
Departmental
procedure
Details of any physical
restraint used on a
service user by a person
who works as a
domiciliary care worker
7y
Destroy
Departmental
procedure based on
Statute of Limitations,
1980
The service user plan
devised for each service
user and a detailed
record of the personal
care provided to that
service user.
6 y after closure of file or 3 y
after death where no matters
outstanding
Destroy
Departmental
procedure
87
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ADULTS (cont)
Mental Health
Records for users of
mental health services
20 y
Destroy
Unallocated mental
health referrals
8y
Destroy
Departmental
procedure (based on
Department of Health
practice)
As above
Records of deceased
users of mental health
services
8y
Destroy
As above
Records of
investigations* of
homicide by mental
health service users
Main copy held by
Complaints Officer: 20 y
Additional copy held by
County Manager for Mental
Health Strategy: 6 y
Review
within dept
and destroy
if no longer
required
*Final report to be
held permanently in
Social Care Library
Other
Files where ‘Vulnerable
Adult Abuse’
investigations have
taken place.
10 y from closure of file (or
10 y from date of death
whichever is the longer)
Destroy
Departmental
procedure
88
Departmental
procedure
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ALL SECTORS
Other client-based records
6 y from closure of case
Asylum seeker records
Destroy
Departmental
procedure
Bereavement support
records
3 y from last contact
Destroy
Departmental
procedure
Disabled Car Parking
Badges
3 y after expiry date.
Destroy
Disability
registrations/Visual
impairment
6 y from closure of record, or
until client is 18 y old
whichever is the longer.
6 y from last entry or 3 y
from death if sooner
Destroy
Departmental
procedure (now dealt
with by Co Treasurer)
Departmental
procedure
Destroy
Departmental
procedure
Occupational Therapy
records which have
adaptation plans.
10 y from closure of record
or 3 y from death if sooner
Destroy
Departmental
procedure
OT Direct and SSD
Direct tape recordings of
telephone calls
1y
Destroy
Records on receivership
6 y from last entry or 5 y
from death if sooner
Destroy
Departmental
procedure
(unindexed therefore
cannot be kept
longer)
Departmental
procedure
Referral books
6 y from last entry
Destroy
Departmental
procedure
Unallocated referrals
(previously known as
miscellaneous referrals)
including educational
statements where no
service provided
3y
Destroy
Departmental
procedure
10 y from last entry
Destroy
Departmental
procedure
Financial assessment
files
Complaints
Formal complaints
records kept by
Complaints Officer at
HQ
89
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ALL SECTORS (cont)
Complaints (cont)
Informal complaints
records held by HQ or
area offices
3 y from last entry
Minutes (Keep in electronic form where possible)
5 y from last entry
Minutes of meetings
with external and other
partners (except where
mentioned for specific
county managers
above):
minutes dealing with
general policy and
strategy
7 y plus possible annual
As above: minutes
review thereafter
detailing
implementation of care
of individuals
Minutes of internal Adult One copy per team: 7 y
and Children’s Services
team meetings
containing decisions
which impact on health
and safety of staff and
service users
Minutes of internal team
meetings which do not
include health and
safety issues or relate to
implementation of care
of individuals
3y
Destroy
Departmental
procedure
Review
within dept
and destroy
if safe to do
so*
* If minutes refer to
an on-going project,
may be advisable to
keep until 7 y from
completion of project
Review
within dept
and
destroy*
Statute of Limitations,
1980
Review
within dept
and
destroy*
Review
within dept
and
destroy*
90
* provided no outstanding matters
Statute of Limitations,
1980
*provided no outstanding matters
Departmental
procedure
* provided no outstanding matters
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ALL SECTORS (cont)
Policies and project records (see below for DMT)
2 copies: permanent
Published policies,
Remainder: 1 year from
reports, strategies,
guidelines, procedures, being superseded
and all departmental
publications
General subject-based
project and policy files,
e.g. containing mix of
correspondence and
general background
information
5 y, then annual review until
no matters are outstanding
Transfer
one copy to
Social Care
Library at
Trafalgar
House HQ.
Transfer
second to
RMS to
review
Review
within dept
and destroy
when safe
to do so
Policy: Directors of Adult & Children’s Services and DMT members
Policy files relating to
5y
Contact
initiatives in which HCC
RMS to
took pioneering role, or
review
relating to major
records
changes in the structure
jointly
of the Adult and
Children’s Services
Departments
Possible historical
interest, plus needed
long-term to defend
against claims for
compensation.
Will be part of SSD
publication scheme
for FOI purposes,
unless exemption
applies.
Departmental
procedure
Possible historical
value to some
records: most
material however will
either be covered by
HCC (Committee)
records or central
government records
(eg Dept of Health)
(Files of the service
directors are likely to be
more general and less
detailed and operational
than the files of county
managers on similar
topics)
91
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ALL SECTORS (cont)
Personnel Records
Personnel Records
kept by personnel units
Volunteers’ records
CRB checks for any part
of Adult Services
inspected by C.S.C.I.
Until the ex-employee is 75 y
old, if they have ever worked
with children (including all
home care staff.)
Otherwise: 7 y from date of
termination of employment
Destroy
Until the ex-volunteer is 75 y
old, if they have ever worked
with children.
Otherwise: 7 y from last
volunteering
1y
Destroy
Destroy
Departmental
procedure based on
the recommendation
of the Warner
Committee. (Revised
to take into account
longer working life of
some employees)
As above
Dispensation from
CRB for C.S.C.I
inspectors to be able
to see checks during
inspections
Departmental
procedure
Recruitment records and 6 months
interview notes for
unsuccessful applicants
Staff Diaries
5 y.
Destroy
Training records kept by
Learning Unit: relating to
child protection, abuse
of vulnerable adults,
manual handling and
COSHH
Training records kept by
Learning Unit: other
courses not covered
above
Individual
flexitime/Signing-in
sheets
Staff daily signing-in
sheets/roll-call sheets
40 y
Destroy
7y
Destroy
Statute of Limitations,
1980
2 y.
Destroy
1 month
Destroy
Working Time
Directive
Regulations.
Not used for
recording time
keeping
Destroy
92
Departmental
procedure.
Based on guidance
from HCC legal
services, for defence
against claims
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
ALL SECTORS (cont)
Personnel records (cont)
Annual leave records
3y
Travel claims
3 y plus current
Travel warrant records
2 y plus current
Child minder and
6 y plus current from end of
playgroup registration/
registration
inspection records
Personnel records: health and safety
Staff sickness records
3 y plus current
Destroy
Destroy
Destroy
Destroy
Common practice
Audit/tax regulations
Audit
Current cases are
now dealt with by
OFSTED.
Destroy
Statutory sick pay
regulations, 1999
Statutory maternity
pay regulations, 1999
Control of Lead at
Work Regulations,
1998; Control of
Substances
Hazardous to Health
1999 and the Control
of Asbestos at Work
Regulations, 1998
Ionising Radiation
Regulations, 1999
Statutory maternity pay
records
Medical records under
the Control of Lead at
Work; the Control of
Substances Hazardous
to Health; and the
Control of Asbestos at
Work Regulations
3 y plus current
Destroy
40 y + current
Destroy
Medical records under
the Ionising Radiation
Regulations
Accident books and
violent incident reports
50 y + current
Destroy
7 y (40 y if COSHH involved)
Destroy
Reporting of injuries,
diseases and
dangerous
occurrences at work
regulations, 1995
Destroy
Departmental
procedure
Destroy
Departmental
procedure
Resources and Support Services
Information Services
Subject Access Request 6 months
files (these duplicate
material in existing case
files)
Area Offices
Visitor books/signing in
3 y from last entry
registers
93
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
Appendix 12
Recording in Adult protection Basic Principles
The following are some key steps and issues which need to be followed when recording intervention
in situations of abuse of vulnerable adults:

Refer to Adult services Procedure no 24/00 “Recording Practice and Guidance. Records
Management and Data Protection Act 1998. this contains relevant general advice and
principles

http://www3.hants.gov.uk/proc2400.doc
Refer to Adult Protection Policy and Procedures to ensure the Protection of Vulnerable Adults from
Abuse (procedure 16/05. In particular section 10.10 on recording
www.hants.gov.uk/adult-services/adult-protection-policy

Record everything, being careful to separate fact from opinion/impression. It is imperative
that information is not left out of records for fear of issues surrounding confidentiality or
requests for information/records. If you are concerned or unsure about what you are
recording contact the Children and Adult Services Subject Access Request Team via email
SSHQSAR . The Subject Access Request Team prepare requests from service users and
their representatives in accordance with the Data Protection Act 1998 any information which
falls within an exemption or is deemed would cause significant physical or mental harm to self
or others would be remove prior to disclosure.

Everything needs to be recorded or referred to in profile notes. Give brief details of letters or
meetings as key bullet points. Signpost using profile notes to other paper or electronic files
eg held on I drive so information can be found easily. In respect of other files ensure that file
location can be ascertained without difficulty by entering information in the SWIFT Pfiles Tab
and making sure it is kept up to date. If solely SWIFT records exist then in Pfiles this should
be clearly recorded as “SWIFT only”.

Hold a separate Adult Protection paper record for anything which cannot be recorded in
SWIFT eg correspondence and signpost to this from profile notes and add Pfiles Tab location.

On closure the Adult Protection record should be placed with the Care Management record in
confidential section.

The ability to cut and paste into SWIFT from other functions is developing. Wherever possible
cut and paste letters; minutes; outlook notes etc. into SWIFT records.

Internal email should be via SWIFT not outlook wherever possible to ensure there is a clear
chronology of events

All files where there has been an investigation under the adult protection procedures must be
retained for 10 years from the date of closure of the case.
94
(Proc 06/07 – 21 Feb 2007)
GENERAL
RECORDS MANAGEMENT &
DATA PROTECTION
DEPARTMENTAL DISTRIBUTION LIST
All managers
95
(Proc 06/07 – 21 Feb 2007)