Records Management
and Retention
Steve Wilcox– Vice President
Intertribal Software Consultants, Inc.
Valerie Powell – Director – Home Finance Department
Housing Authority of the Choctaw Nation
Government
Gaming
Education
ISC
Health
Services
Housing
RM – Records Management and Electronic Records
Management:
Records Management - the field of management
responsible for the efficient and systematic control of
the creation, receipt, maintenance, use and
disposition of records, including the processes for
capturing and maintaining evidence of and
information about business activities and transactions
in the form of records.
•
•
Record Schedule:
• A records schedule provides an approved retention period
an agency has to keep a record.
• A record schedule identifies records as either temporary or
permanent and provides instructions on how to dispose
records.
• A record schedule is mandatory for all agency records
regardless of physical form (i.e., paper and electronic
records).
Disposition Policy and Process:
• Policy for disposing of records. Disposal Policy does not
always mean destruction. It can also include transfer to a
historical archive, museum, or private individual.
• Destruction of records ought to be authorized by law, statute,
regulation, or operating procedure, and the records should be
disposed of with care to avoid inadvertent disclosure of
information
What – Why – When - How
• Identify Documents / Records and determine their life cycle
• Identify Authority and standards for particular document types
•HUD
•IRS
•Housing Board
•Tribal Counsel
•Create and Document Schedule for that Record Type
•Identify Records Manager Authority
•Document Disposition
Lifecycle
Hold invoice for at least 3 years after it’s paid, then
destroy
Active
Retention
Disposition
Cutoff
Hold invoice for at least 3 years after it’s paid, then
destroy
Invoice paid
eligible for cutoff
01/15/2014
Active
Retention
Disposition
Retention
Hold invoice for at least 3 years after it’s paid, then
destroy
Invoice paid
eligible for cutoff
01/15/2014
Active
Retention = 3 years
Disposition
Disposition
Hold invoice for at least 3 years after it’s paid, then
destroy
Invoice paid
eligible for cutoff
01/15/2014
Active
Eligible for disposition
01/15/2017
Retention = 3 years
1 record folder = 3 records manager actions
Disposition
• It has to be a priority
• Create a Project and Project Manager
• Part of bigger initiative
• Consider ERM as part of initiative
• Going Green – Paperless
• ROI and Cost Benefit Analysis
•Accountability & records as evidence
•Standards & controls
•Protection & security
•Audit trails & reporting
•Capture, access & retrieval
•Disposal and archiving
•Supporting business continuity
Readiness of the agency’s Records Management staff is critical
to success of ERM. Some questions to be answered:





Does your agency have a functioning records management
program?
Will current RM staffing levels support an ERM
environment?
Does your agency have an up-to-date listing of records?
Does your agency have an enterprise-wide records
classification scheme or file plan?
Do all staff understand and know how to use the agency file
plan?
16
•Shared Folder on Server with PDFS
•Microsoft SharePoint
•ERM Systems
•Laserfiche
•Filenet
•Kofax
•Vistascan
•Code: An identifier for the series. If the repository was configured to
require unique codes, a code must be present and each code must be
different from all other codes. If the repository was not configured to
require unique codes, the code can be the same as another record series
code, or can be left blank.
•Name: The name of the record series, this is a required field.
•Description: A description of the record series.
•Designate records within this collection as permanent: This checkbox
provides a default value for whether newly created record folders will be
marked as having permanent records status. Permanent records cannot be
assigned to a retention schedule with a Destruction final disposition.
•Cutoff Instruction: Provides a default cutoff instruction for record folders
stored within the record series.
•Retention Schedule: Provides a default retention schedule for record
folders stored within the record series.
•Vital Records: Defines whether records stored under the record series are
vital by default, and if so, what their review cycle or interval is.
•Disposition Authority: An authority that empowers a user to perform
disposition actions.
•Apply changes to child record series and record folders. This checkbox
defines whether changes made to the record series will affect the folders
and records contained within it.
• Capture
• Scan
• Import
• Integrate
• Classify
• Metadata
• Index
• Control
• Secure
• Life Cycle Implementation
Cloud Based Mobile Data Capture Solutions
Automate Field Data Collections from your Field Workers
Housing – CHR – Asset Management – Asset Management – Health Services
Out-of-the-Box Functionality
Additional Capabilities:
•The intuitive, Windows-based
Laserfiche client.
•DoD 5015.2-certified Records
Management.
•Laserfiche content server.
•Audit Trail tracking.
•The Laserfiche Workflow automation
system.
•High-volume document capture
and processing
•Laserfiche Scanning tools that support
TWAIN and ISIS scanners.
•Fully functional thin client for Web
access.
•Microsoft Windows/Office
interoperability to archive Outlook email and more.
•Read-only public Web portal.
More than 60 built-in
activities help you
create workflows
quickly, or you can
create and run custom
Laserfiche Workflow
activities with VB.NET
or C# scripts.
A graphical
Workflow Designer
enables you to create
workflows by
mapping your
business process with
an intuitive interface
for testing, modifying
and supporting
Workflow activities.
With Laserfiche Forms,
there is no “paper form”
or “document,” but
instead a rich UI and
integration with
workflow and mobile
that allows the efficient
movement of business
information.
Once a form has been
submitted, an embedded
workflow engine and
dashboard ensure that
appropriate action is
taken quickly, allowing
organizations to make
measurable, targeted
improvements in
employee productivity.
Copyright 2012
Tenant Management Software
For
Indian Housing Authorities
Copyright 2012
Tenant Information Tracking
GPS Mapping
Contact us today for a FREE Webinar.
Phone: 580.931.3061
www.InterTribalSoftware.com
info@intertribalsoftware.com
Copyright 2012