Hertfordshire County Council Records Management Policy
Scope
Hertfordshire County Council (HCC) is dependent on its records to operate
efficiently and effectively. This records management policy defines a structure for
the management of all of HCC’s records to ensure;
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HCC retains only those records which it requires to conduct its business;
Those records which are retained are managed and controlled effectively and
at the least cost, commensurate with legal, operational and information
needs.
This policy supports compliance with the following;
 Freedom of information Act 2000
 Local Government Act, 1972
 Data protection Act 1998
In this policy “records” includes records in paper and electronic form.
Objectives
 To comply with the legal requirements for records management and protect
the Council and its employees against litigation.
 To support the delivery of more effective and economic frontline services by
providing appropriate access to full and accurate records
 To minimise accommodation and information storage costs of records.
 To support the long-term preservation of the Council's archival records.
 To instil good practice in record keeping across HCC
 To ensure all records are maintained in an appropriately safe and secure
environment
 To provide a centralised electronic index of records held.
 To ensure consistent naming of records across the authority to facilitate
retrieval and management of the records.
 To track the movement and use of records to ensure accountability for
records in possession of individuals and to minimise loss and unauthorised
access
 Reduce the need to duplicate records (both in an electronic and paper format)
Implementation
Indexing and classifying
 All information retained will be classified according to the Hertfordshire LGOL
partnership classification scheme
 Staff who receive, maintain or create a record are responsible for ensuring
that record is placed into the shared memory of HCC. This includes indexing
and classification of the record.
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The metadata (information about the record) required for appropriate indexing
will be based on a base level of metadata common across all records and
extended when necessary according to business need. (eg Children’s Client
records, will require a different set of information than planning records)
Use and tracking of records
 The appropriate access and security restrictions for records will be agreed by
business units in conjunction with the Records Management Service by using
a common framework.
 Custodians (i.e business units who create or receive the records) of records
must ensure that a system is in place to track the movement, and access to
the records. Minimum data to be collected to support this is:
- Date moved
- Name of staff member or organisation responsible for record
Further guidance on tracking records can be obtained from the HCC Records &
Documents Manager.
Monitoring and auditing
 The Records Management Service and Internal Audit will regularly monitor
compliance of business unit record keeping systems.
Storage
 The authority will provide a chargeable storage and central retrieval service
for paper records through the Records Management Service, using a
combination of on-site and offsite storage facilities
 The authority will utilise the Electronic Document Records Management
System (EDRMS) which will be obtained as part of LGOL to store electronic
records created and received by HCC.
 Our long term aim is to ensure all relevant paper records received are
transferred into an electronic format. Implementation and roll out of this will
be supported by a business case. Paper records imaged will either be
destroyed or kept dependent on the advice received at the time from County
Secretaries/Audit.
Training
 Staff within HCC with records management responsibility will be trained
commensurate with their needs. Departments will support this training in line
with the policy.
Disposal of records
 Records will be destroyed according to the HCC records retention policy,
accessible at:
http://connect.hertscc.gov.uk/infobase/docs/worddocs/retentionguide.doc
 Records no longer required should be pulped, burnt or shredded dependent
on the confidentiality of the information
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Departments and the Records Management Service will transfer records of
appropriate historical significance to Hertfordshire archives and Local Studies
at the end of their administrative life
Responsibilities
Each Department by end of June 2004
 Will have a written policy for the management of its records which builds upon
this corporate framework
 Will have an action plan to ensure the implementation of that policy through
appropriate business plans
 Will nominate a senior officer to oversee the implementation of the policy
 Will ensure staff with Records Management responsibility within their
department are appropriately trained and skilled
Will require its business units to; (implementation will be done as part of roll
out of the LGOL Electronic Document Records Management System)
 Ensure the capture of records that provide evidence of its functional activities
 Ensure records contain only precise and relevant information which is
appropriate and not excessive for its intended purpose
 Capture these records into the corporate record keeping framework as
expressed by this policy. So that all records the business unit creates or
receives are easily identifiable, correctly classified and accessible.
 Identify personnel with responsibility for the creation capture and
management of records
 Retain records in compliance with the HCC retention schedule (Which
includes statutory, regulatory and administrative requirements) accessible at:
http://connect.hertscc.gov.uk/infobase/docs/worddocs/retentionguide.doc
 Ensure records, which are no longer required to be retained, will only be
destroyed in compliance with agreed departmental and HCC procedures
Director of Community Information
Will ensure;
 Recognition throughout HCC of records management as a specific corporate
programme
 Appropriate support for the corporate records management programme
 An overall Records Management Policy exists for HCC (this policy)
HCC Document & Records Manager
Will ensure;
 This policy is readily accessible to staff.
 Procedures to support the policy are accessible to staff
 Staff within the Records Management Service have the appropriate Records
Management skills
 Secure, cost efficient storage and retrieval is available for HCC semi-current
records
 Guidance is issued on best practice in records management
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In conjunction with the County Archivist, records required for permanent
preservation are transferred to Hertfordshire Archives and Local Studies.
In conjunction with Internal Audit carry out compliance audits to ensure HCC
statutory obligations are met. Including Freedom of information Act 2000,
Local Government Act, 1972 and Data protection Act 1998.
Destruction of records by the service complies with HCC policies.
The Hertfordshire LGOL partnership classification scheme is appropriate
maintained
Metadata profiles for different records types are developed in conjunction with
business units
When appropriate liase with County Secretaries on whether imaged records
can be destroyed or kept
Review
 Departmental records programmes shall be reviewed every two years to
assessed their effectiveness
 This policy and departmental statements will be reviewed at regular intervals
(at least once every three years) and amended to maintain its relevance
Definitions
Metadata – data describing context, content and structure of records and their
management through time
Records – information created, received and maintained as evidence or
information by an organisation or person, in pursuance of legal obligations or in
the transaction of business
Records management – field of management responsible for the efficient and
systematic control of the creation, receipt, maintenance, use and disposition of
records, including processes for capturing and maintaining evidence of and
information about business activities and transactions in the form of records.
Retention Schedules – is approved list of retention periods for records series
compiled to comply with legal, regulatory and business requirements.
Semi-Current Records – records which are not in active use but need to be
retained for legal, regulatory or business needs.
List of associated Documents
Information Management Strategy
http://connect.hertscc.gov.uk/infobase/docs/worddocs/ims.doc
Hertfordshire County Council Retention and Disposal Schedule
http://connect.hertscc.gov.uk/infobase/docs/worddocs/retentionguide.doc
Hertfordshire County Council Metadata Standard
Currently being produced
Is to be based on Metadata schemas as adopted by the Cabinet Office
Accessible at;
http://www.govtalk.gov.uk/schemasstandards/schemasstandards.asp