Information Sheet 2: The transfer and retrieval process for client hard copy records

Purpose

This information sheet outlines the transfer and retrieval process of client hardcopy (paper) records/files for children and young people in statutory out-of-home care (OOHC) from a designated agency with case management responsibility to the Government Records Repository (GRR). A designated agency is an organisation that is accredited by the NSW Children’s Guardian to provide statutory OOHC services in NSW.

Refer also to Statutory OOHC Designated Agency Digital Records Transfer Information Sheet No: 4 for further guidance on how to transfer digital/electronic records. DCJ has entered into a Memorandum of Understanding (MOU) with the Government Records Repository (GRR) to facilitate appropriate management of identified State records and arrangement for the transfer of paper records.

Creation and Management of Client records

Creation and maintenance of records relating to the provision of services to children and young people is essential to support the ongoing care, interests, rights and entitlements of the child or young person in statutory OOHC.

Designated agencies are required to have record management systems that comply with legal and administrative requirements to ensure full and accurate records can be provided for children and young people in their care.

Transfer of client paper records to DCJ under section 170

Section 170 of the Children and Young Person (Care and Protection) Act 1998 requires that each designated agency keep records relating to the placement of a child or young person in statutory OOHC for a period of seven years after ceasing to be responsible for the placement.

After the seven years, the designated agency must deliver those records to the Secretary (DCJ) for ongoing management. Under the legislation, where a designated agency has transferred closed records to DCJ for ongoing storage at the GRR, the relinquished records can be accessed by that same designated agency that previously supervised the child or young person.

Where a designated agency has ceased providing statutory OOHC, the relinquished records may only be accessed by an accredited designated agency.

Section 170 of the Act requires that any organisation that ceases to be a designated agency must deliver its records to the Secretary (DCJ) for ongoing management. Discussion about the timeframe for the transfer of records to DCJ should be in consultation with the local contract manager.

DCJ Records Management will provide advice regarding the process and delivery of client records by the designated agency to DCJ. Designated agencies planning to transfer records and client records to DCJ under section 170 must first inform DCJ Records Management- see contact details listed at the end of this information sheet. DCJ will advise of the process and direct delivery of the records and client records by the organisation to DCJ.

The designated agency needs to identify the:

• paper records for transfer to DCJ under section 170
• measures being taken to transfer the records to DCJ.
• proposed timeframe for the delivery of the records

Steps to transfer client paper records to DCJ

• Records need to be categorised and grouped together and packed in Type 1 archive boxes for safe and secure transfer to DCJ.
• Include a Records Transfer Listing with the archive boxes identifying contents of each box.

Transfer of client paper records to DCJ following agency closure

A designated agency funded by DCJ that ceases statutory OOHC service provision or is no longer funded by DCJ must liaise with DCJ to ensure that client records are maintained in keeping with legislation. Records must not be destroyed and must be delivered to DCJ Records Management from where they will be sent to the GRR for secure storage.

The organisation must identify which paper records relate to clients:

• that are closed because the client no longer receives a statutory OOHC service
• that are to remain open because they receive ongoing case management support

Following the closure of a funded designated agency, records sent to DCJ will become the management responsibility of DCJ. Upon receipt of the records, DCJ Records Management will process, complete a Records Transfer Listing if the agency has not been able to complete one and update the location in Content Manager. DCJ Records Management will then send the boxed documents to GRR for secure storage.

The relevant business area managing the transfer of client records will liaise with DCJ Records Management to transfer any open file/records to the new designated agency for ongoing management of the file. Only DCJ can inform the GRR about the redirecting of open client file/records to a new DCJ office or other designated agency.

The timeframe for retrieval of client records by the GRR to another designated agency should be within two weeks. DCJ Records Management should be advised as soon as possible by the local DCJ office for the retrieval of any open records by the GRR.  These discussions should include the need for digitising of records and the format for delivery to the new designated agency.

Transfer of client paper records for storage purposes

Where a designated agency has inactive or archived client records, a Records Transfer Listing is to be completed and transferred to DCJ Records Management, which will forward these records to the GRR or the agency can send the records directly to the GRR for secure storage. The completed Records Transfer Listing is to be sent to DCJ Records Management for reference of what records are being held at the GRR.

Records sent to the GRR can be retrieved by the organisations at a later stage if required, to review information and to assist with new case planning issues relating to the client (e.g. aftercare support). Refer to the retrieval process section in this document for further information.

Costs related to the transfer of paper records to DCJ

• DCJ uses the GRR to store children and young people’s records securely on an ongoing basis. The GRR uses best practice measures to store records in line with approved storage standards.
• Designated agencies will be required to meet the costs relating to the transfer of these records delivered to DCJ. Records are to be provided to DCJ in approved Type 1 archive boxes (which are available from GRR at $25 per pack of 20 standard archiving boxes).
• The designated agency will need to discuss with DCJ Records Management the arrangements for delivery of the records (courier, agency delivery or through identified arrangements)

Preparing records for transfer

Records should be appropriately boxed and listed for transfer by the agency.

• Approved Type 1 archive boxes are to be used
• Contents are to be listed with appropriate detail to enable ongoing retrieval and access
• Contaminated records are NOT to be forwarded to the GRR. If you have identified records which have been contaminated by mould, water or insects etc. seek for advice from DCJ.
• Boxes received by the GRR containing contaminated records will be returned for data cleansing.  This is an extremely expensive process and will be the responsibility of the agency. Boxes are not to be over-packed and must have at least 2cm of space.
• Each box must be numbered in sequence, notated with the authority number (to be obtained from DCJ prior to collection)

Please contact the GRR on (02) 8805 5325 if you require Type 1 archiving boxes. Boxes are priced at $25 per pack (as at October 2017) of 20 standard archiving boxes.

Advice to DCJ

The designated agency must inform DCJ Records Management of:

• the impending transfer of records to DCJ
• the Records Transfer Listing - detailing the type of records to be delivered (e.g. client records)
• the volume, condition and packaging arrangements for the records
• the timeframe to prepare and deliver records to the GRR

On receipt of advice from the designated agency, DCJ Records Management will authorise the delivery of records to the GRR.

Retrieval process

Under the MOU, a designated agency can request permission from DCJ for retrieval of client records. The designated agency must complete the records retrieval form (see copy attached to this information sheet) and send it through to DCJ Records Management.  DCJ Records Management will then request the records from the GRR. Completion of the record retrieval form involves:

• client details (Reference number, full name of client, DOB)
• reason for the request (e.g. aftercare support)
• timeframe for delivery
• designated agency contact officer details, organisation delivery address and contact number
• signature of the delegated officer of the designated agency

The designated agency needs to:

• identify the records for retrieval from DCJ under section 170.
• discuss with DCJ Records Management the timeframe for the delivery of the records
• identify the measures to deliver the retrieved records

Steps to retrieve paper records from DCJ

• As hard copy records are maintained by the GRR the general timeframe for retrieval and delivery to the designated agency is approximately two weeks.
• Express delivery arrangements can also be negotiated with DCJ Records Management to expedite the process.
• It is DCJ’s practice to provide designated agencies with a digitised version of the records from the GRR.

Request for retrieval of records (DOCX, 30.2 KB)

Costs (as at September 2020)

Standard Requests	$96.66 for the search and retrieval of any archived records from GRR. Plus: Scan-on-demand - $9.225 p/file + $0.1025 per page (for documents up to A3) (Whole files delivered within 7 hours – business hours only) $3.5875 per page (documents larger than A3 size)
High Priority	$96.66 for the search and retrieval of any archived records from GRR. Plus: Scan-on-demand $15.375 (per file) + $0.15375 per page (up to and including A3 size) (available for download within 3 working hours) $3.5875 per page (documents larger than A3 size)
Urgent	$96.66 for the search and retrieval of any archived records from GRR. Plus: Scan-on-demand $20.50 + $0.25525 per page (for documents up to and including A3 size) (available for download within 1 working hour) $3.5875 per page (documents larger than A3 size)

Key records resources

• Accessing your care records
• Charter of rights for children and young people in out-of-home care in New South Wales
• Children and Young Persons (Care and Protection) Act 1998
• Children and Young Persons (Care and Protection) Regulation 2012
• Children’s Guardian Act 2019
• Government Information (Public Access) Act 2009
• Health Records and Information Privacy Act 2002
• NSW Government Information Classification, Labelling and Handling Guidelines July 2015
• NSW State Records recordkeeping advice
• Office of the Children’s Guardian (OCG)
• Privacy Act 1988 (Commonwealth)
• Privacy and Personal Information Protection Act 1998
• State Records Act 1998

Other related Information Sheets for designated agencies

• Statutory out-of-home care - Designated Agency Recordkeeping Information Sheet No: 1
• Statutory out-of-home care - Designated Agency Digital Records Transfer to DCJ Information Sheet No: 3
• Statutory out-of-home care - Designated Agency Digital Systems Recordkeeping Information Sheet No: 4
• Statutory out-of-home care - Designated Agency Recordkeeping FAQ’s Information Sheet No: 5

Further advice

DCJ will work collaboratively with designated agencies to help them meeting their legislative obligations under s.170 with the management and transfer of OOHC records for children and young people.

There is a dedicated Records Management Team within DCJ who are subject matter experts and can assist with your specific agency queries.

Discussions on recordkeeping will occur in consultation with your agency’s DCJ Contract Manager and the DCJ Records Management Team.

For specific information about the record transfer or retrieval process or technical and logistical support, please contact our Records Management via E-mail: NGORecordsManagement@FACS.nsw.gov.au