Records Retention and Destruction
2
3
4
Introduction of Participants
• What is on your
business card?
• What are your
expectations for this
course?
• Do you have any
particular concerns?
5
Structure of Two-Day Seminar
•
•
•
•
•
•
Receipt of written materials
Discussion schedule
8:30 a.m. – 12:00 morning session
1:00 p.m. – 4:00 p.m. afternoon session
Two 20-minute breaks a day
Instructor available after each day to
answer individual questions
• Questions from participants are always
encouraged!
6
Goals of Seminar
• Identify what a record is and why we would need
to retain or destroy it!
• Discuss unique situation of records in Indian
Country
• Familiarize participants with relevant legislation,
Acts, etc.
• Provide practical suggestions for implementing a
records retention and destruction policy
• Discuss confidentiality concerns
• Examine sample retention schedules
7
Review Content of Written Materials
• Written materials available for reference
• Presentation will not strictly follow written
materials, but will refer to them
• How materials are organized
8
Agenda
1.
2.
3.
4.
5.
6.
7.
8.
What is a record?
Why records management?
Identifying types of records
Preparing your records for organization
Filing records
Storing records
Creating retention and retrieval policies
Forms and reports management
9
What Is a Record?
• Any form of recorded information created by
or communicated to the tribe or tribal
organization:
–
–
–
–
–
Paper—sticky notes, memos, etc.
Emails, voicemails, instant messages
CDs, tapes, disks
Photographs
Enrollment documents, health records,
ledgers, budgets
– Others?
10
The 4 Phase Record Life Cycle
• Control of four (4) phase record life cycle
Creation
• Internal
• External
Use and Maintenance
Disposition/Destruction
• Active period
Retention
• Storage after active period
has ended (passive period)
11
Why Records Management?
• What is the alternative?
12
Why Records Management?
• Files are categorized & preserved
appropriately
• Eliminate creation & retention
– Unnecessary records & copies
• Efficient & economical use
– Files can be found and returned easily
13
Why Records Management?
• Efficient retrieval of record
– Uniform system for all tribal entities
– Central retention location
•
•
•
•
•
Reduction of “lost records”
Scheduled retention periods
Specified & controlled destruction
Cost effective
Offers a systematic process for a
potentially chaotic problem
14
Group Activity
• Goals for this class
– For me to consider my attendance at this
class a success, I need to learn
– The types of records I am responsible for
include…
– What I need to be able to bring back from
this class is…
15
Where To Begin
• An inventory of current policies and
procedures
• Do you have:
– Forms & forms controls?
– Retention and destruction policies &
procedures?
– A uniform tribal records management system?
– A systematic records destruction policy?
– A records management manual?
– A records management training program?
16
Where are you on this spectrum?
Collect everything,
save everything. No
policies, or just a
“don’t throw anything
out that looks
important” policy
Codified retention
schedules, committed
employees. Training
program for new
employees. Full and
total compliance of all
departments.
Throw everything
away as soon as you
are finished with it.
17
Inherent Problems
• Control of information production
• Separation of useful from not so useful
• Organization & maintenance for availability &
accessibility
• Streamlining the process to promote
consistent implementation and usage
• Up-front costs
– Piles of papers on your desk are free, right?
• Others?
18
To Be Effective, a Records Management
System Must Include:
•
•
•
•
•
Forms control
Reports management & control
Active & inactive file management
Mail/email/voicemail management
Records management manual/policies
management
• Training program
• Support of the leadership
19
Records Management
Identifying the Types of Records
Types of Records
• Vital records– permanent retention
– Cannot be replaced
– Essential for the tribe or tribal
organization’s welfare
21
Vital Records
• Deeds/charters
• Legal documents – constitutions,
resolutions, court cases, compacts
• Enrollment documents
• General ledgers
• Operating agreements
22
Vital Records
•
•
•
•
Tribal historic documents
Tax documents
Vital contracts
Drawings & blueprints
23
Types of Records
• Important records– long retention period
• These are records that are:
– Necessary for operations
– Cost & labor intensive to replace or
reproduce
24
Important Records
• Both active and inactive files
– Active files are kept in work area– these
are files that need to be accessed regularly
– Specified period for inactive files to be
retained in work area, then sent to central
record retention area – this may be on-site
or off-site – we’ll talk more about that soon
25
Important Records
•
•
•
•
•
•
•
•
Financial statements
Credit histories
Reports
Statistical records
Sales/performance records
Personnel files
Diplomas
Others?
26
Types of Records
• Useful Records—Impact operations for a
more limited period, but are still useful
– Inconvenient, but not dire, if lost
– Limited retention based on usefulness
27
Useful Records
• Can include:
–
–
–
–
Letters
Memos
Business reports
Monthly tracking
spreadsheets
– E-mails
– Meeting notes
28
Types of Records
• Nonessential records:
– No predictable value
– Very limited useful life
– In-office files only
– Never sent to record retention – they are
dealt with before this would happen
29
Nonessential Records
•
•
•
•
•
•
Routine letters
Publications
Form letters
Interoffice memos
Some e-mails
Sticky notes
30
Nonessential Records
• Same document redundancy
– ****Extra copies*****
– Two departments call one record two
different things and keep two different
documents for the same records
31
When Classifying Records…
• Content is what is important— not format.
32
Records Management Benefits
•
•
•
•
•
Space savings – +40% reduction on average
Reduction in misfiles and lost files
Reduced equipment/supplies costs
Faster retrieval
Ability to furnish current, accurate & complete
information
• Increased accountability– if everyone knows
their role in the records management
process, they won’t be able to just “blame the
records manager!
33
Records Management Benefits
•
•
•
•
Reduced liability
Maximum service to requestor
Compliance with tribal policy
Compliance with contractual & legal
retention requirements
34
Records Management Benefits
• Control record creation & misuse
• Control of records retained – only those
necessary
• Protection of records
35
Records Management Benefits
•
•
•
•
Uniform system
Minimized training
Reduction of labor hours
Optimization of personnel
36
Practice Exercise
• Per your current environment:
– Column 1 – insert current major records
categories
– Column 2 – what categories you would add
– Column 3 – category deletions
– Column 4 – deletion rationale
37
Basic Steps to Records Retention
• Get a team together
– Even if you’re a one-person records department,
you can get others involved
• Get attorney support
– This is especially important for tribes and tribal
org, as the laws that will apply to your situation will
vary based on compacts, grants, etc.
• Compose your document list and
categorize/assess your documents
• Create your rules, regulations, and retention
schedule
• Go electronic
38
Preparing Your Records for
Organization
Preparation of Records
• Critical for proper filing & preservation
• Review
• Indexing & coding:
– Where is it filed?
– Under what heading/name?
– This is important when there is more than
one meaningful way to organize your files
40
Preparation of Records
• Cross referencing:
– File may be called for under two (2) or
more categories or titles
– Thinking back to the instructor confirmation
letters– this file might need to be crossreferenced as both Instructor Information
and Class Information
41
Cross Reference Sample
Original Card
Cross Reference Card
Hart, Mrs. Ethel Kain
Mrs. Ethel Louise Hart
136 Fork Avenue
Cheyenne, MT 59101
Kain, Ms. Ethel Louise
See: Hart, Mrs. Ethel
Louise
42
Cross Reference Sample
• Original Card
Cross Reference Card
Sprecksville Towing
Mr. James Dillen,
owner operator
2254 W. 8th St.
Pendleton, OR 62843
Dillen, Mr. James
Owner operator
Sprecksville Towing
2254 W. 8th St.
Pendleton, OR 62843
43
Cross Reference Sample
CROSS REFERENCE SHEET:
Name or Subject:
Regarding:
SEE:
Name or Subject:
File No.
File No.
44
Preparation of Records
• Attaching small pieces of paper to full
sheet
• Utilization of proper repair/preservation
materials:
– Archival quality
– Tape, sheet protectors, etc.
45
Preparation of Records
• Removal of all unnecessary:
– Staples
– Paper Clips
– Exception: Packages
– Copies
• Especially if you are going electronic, or if
that’s a goal of your organization – this will
majorly simplify things later!
46
Preparation of Records
• One department at a time
• Sorting - by category of records (what
kind of record is this?)
• Releasing mark – initials of person coding
material – the person doing the inventory
• Preparing labels
• Filing materials in appropriate section of
folder
47
Filing Methods
Filing Methods
• Many options – we’ll discuss the most
common
• Dependant upon types of record you are
organizing
– It wouldn’t make sense to organize patient
files first by the date of last visit, would it?
– At the same time, does it make sense to keep
the records of every patient who ever visited in
the office forever?
• How it will be retrieved
• Other organization-sensitive information
49
Filing Methods
• Types of filing systems:
– Alphabetic – (personnel, medical records)
– Geographic – (housing/schools, multiple
locations)
– Numeric – (enrollment, drawings, contracts,
grants)
– Subject – (education, health, social services,
EPA, regulatory, gaming, non-gaming)
– Chronologic – (most current date)
– Combination – (alpha-numeric, alphachronologic, etc.)
50
Filing Methods
• Note: except for chronologic filing, the
previous methods use alphabetic concept
in their operation, therefore:
• Two basic systems:
– alphabetic & numeric
51
Filing Methods
• Documents: must first be categorized, then
prepared for placement in file:
– Alphabetic
– Alphabetic/numeric
– Geographic
– Numeric
– Subject
– Color coding
– Placement within file
52
Uniform Filing System: Advantages
• Controlled access to confidential, proprietary
or private records
• Reduced labor costs – faster retrieval &
refilling
• Reduction in “lost” or “misfiles“ –“everyone
knows the system” Personnel easily trained
• Reduced training budget
• Conversion to modern storage media
simplified
• Maximum utilization of standardized
equipment/supplies
53
Uniform Filing System: Advantages
• Eliminate errors in record destruction
• Pre-determined record retention schedule
• Reduction total labor & equipment costs
54
Alphabetic & Alphabetic/Numeric
Filing Methods
• Oldest & simplest methods
• Most widely used
• File division: alphabetic
– Alphabetic indexing
– Clearly defined rules
55
Alphabetic Filing Method
• Alphabetic indexing:
– Surname – key unit
– First name – secondary unit
– Defined rules for alphabetizing all
components of name
56
Example
• Laura Myford Brooks
– File first under Brooks
– Then under Laura (between Andrew
Brooks and Richard Brooks)
– Then under Myford (between Laura Joy
Brooks and Laura West Brooks)
57
Alphabetic Filing Method
• Rules for alphabetizing:
– Names in alphabetic sequence
– No abbreviations
– Seniority titles are identity elements
58
Geographic Filing Method
• Location - primary filing reference
• Geographic hierarchy subdivision, i.e.:
– Nation/state/county
– City
– Facility, etc.
59
Numeric Filing Method
• Often the practice of museums and archives
– Unique number assigned document
– Alphabetic index cross-references to numeric
assignment
– For example: each enrollment record is given
a unique identifying number, and this is how
they are organized. If I am looking for a
specific person’s record, I will also need an
alphabetic listing of the records by person so I
can find the identifying number and locate the
record
60
Numeric Filing Method
• Variety of types:
– Chronological
– Sequential
– Significant (codes)
– Decimal-numeric (generally obsolete)
– Alpha-numeric
61
Numeric Filing Method
• Basic features of numeric file:
–
–
–
–
Numbered guides & folders
Alphabetic miscellaneous file
Card file/spreadsheet/database
Accession book – next number available –
(serial/consecutive numbering)
• Some museums use this system– each time a set
of items are accepted into the museum, they share
a 4-digit accession number that begins their unique
identifying number– so a set of items could be
20110224.1 through 20110224.15
62
Subject Filing Method
• Categorizing – most difficult task
– Exact nature & quantity must be
determined
– Normally related to organizational
operations
• Subject names must be specific &
commonly understood
• Alphabetic or alpha/numeric filing
63
Subject Filing Method
• Subject headings – must be:
– Exact
– Specific
– Descriptive
– Concise
• Everyone must be able to easily identify
the same subject heading for each item–
no “best guessing”
64
Subject Filing Method
• Technically correct
• Terms subject to one interpretation
• No duplications
65
Filing Records
• Set aside a specific time
• File records in:
– Face up
– Most current date on top
– Place folder in drawer behind guide
66
Filing Records - Folders
• Re-file in same chronological place
• Maximum 20-25 sheets per folder
• Use reinforced folders as needed
67
Filing Records - Drawer
• Open only one file drawer at a time! (they can
tip over surprisingly easily)
• Place miscellaneous folder at end of each
section in drawer
• Use drawer guide every six to eight folders
• Leave expansion/work space in drawer
• Lift folder 1”-2” out of drawer to file
documents (don’t just stuff ‘em in)
• Do not grasp by guides & folders by index
tabs
68
Centralized or Decentralized
Storage
Centralized vs. Decentralized
• Centralized: all files maintained in one (1)
location – normally a retention center
• Decentralized: files maintained in more
than one location
70
Centralized vs. Decentralized
• It varies, but tribes generally have:
– Decentralized files in work place:
•
•
•
•
Active
Inactive – depends of access frequency
Vital documents – work copies only
Important documents
71
Here’s What It Looks Like
72
http://www.cintas.com/documentmanagement/Do
cumentStorage.aspx
Centralized vs. Decentralized
• Centralized:
– Off-site, secure, environmentally protected
storage of all originals of vital documents
– Record retention center – storage of:
• Important
• Useful
73
Original Documents
• Original documents must never:
– Be used as “working” copies.
– Be marked on
– Be handled on a routine basis
74
Record Retention Areas
• Must have:
– Adequate space for minimum – five years
projected growth
– Safety
– Security/access controls
– Environmental controls
75
Record Retention Areas
• Primary concerns:
– Accessibility
– Constraints
– Access frequency required
– Retrieval speed/mobility
76
Equipment & Supplies
•
•
•
•
•
Size/type of records
Record media requirements
Filing/retention cost vs. value of record
Security requirements
Environmental considerations
– Always store your records at least a few
inches off of the ground
77
Lateral vs. Vertical Files
• Useful life
• Maintenance costs
– Drawer guides
• Warranty
• Adequate aisle space/floor support
– 44” – front of vertical files
– 4 or 5 drawers
78
Equipment & Supplies
• Foot print constraints:
– Height:
•
•
•
•
Space saving: 5 drawer
Standard: 4 drawer
Counter high: 3 drawer
Desk high: 2 drawer
79
Open Shelf Filing
•
•
•
•
•
•
6, 7, or 8 shelves
Multiple access
Cost effective
Covered vs. coverless
Manual vs. Automatic
Damage and climate considerations
80
General Supplies
• Pendaflex hangers vs. built-ins
• Plastic folders vs. heavyweight cardboard
• Regular vs. expansion (accordion) folders
81
General Supplies
• Filing guides –
material
• Out guides –
size/shape/material
• Environmental
concerns
• Labels
• Filing stools
• Racks
• Stationery supplies
– Markers
– Stamps
– Plain vs. colored
– Preprinted vs. plain
82
General Supplies
• Sorters
• Forms
• Storage containers:
– Paper
– CDs, DVDs
– Others?
83
Creating Retention and Retrieval
Policies
First Step– Records Inventory
• Creating record categories
• Every department, subdepartment needs
involvement
85
Determining Retention Timeframe for
Each Record Category
1. What laws that apply to our tribal
organization apply to this type of records?
2. Could the information on the record be
considered evidence?
3. Can it be clearly classified? Will this
determine how/where it is stored?
4. Is a copy sufficient? Do we need the
original? What about an electronic copy?
If the original needs to be stored, does it require
specific environmental conditions?
86
Determining Retention Timeframe for
Each Record Category (cont’d)
5. Who needs to access this information, and how
often?
Can it be store onsite or offsite?
6. How long does this record need to be retained?
It may legally only need to be retained for 3 years,
but if it has value to your organization beyond
that point, that must be considered.
7. What is this records was destroyed in a
disaster?
8. When the records reaches the end of its
lifecycle, what’s the plan? Dispose? Destroy?
Transfer?
87
Retention & Retrieval
• Records management manual &
department P&P’s must clearly define
– Purpose of uniform system
– The record’s manager authority &
responsibilities vs. departmental authority
& responsibilities
• The library at the University of Cologne,
Germany
– Definition of terms used
88
Records Management Manual &
Departmental P&Ps
•
•
•
•
Record categories
Alphabetizing methods
Color coding methods
Retention periods
89
Records Management Manual &
Departmental P&Ps
• Confidentiality requirements– labeling or
stamping of designated documents as:
– “Confidential”
– “Private”
– “Personal”
– “Proprietary”
90
Records Management Manual &
Departmental P&Ps
• Forms & labels to be utilized
• Records preparation and preservation
methods
• Retrieval methods
• Retention log format – paper or electronic
(or both?)
91
Retention Log Contents
• Header with:
– Tribal logo
– Date of issue
– Department number and/or name
– Name of person preparing form & retention
box
92
Retention Log Contents
•
•
•
•
Retention box number
Location
Retention period
Destruction date
– It’s very important to denote this on the
retention log and on the folder
• Title of person to contact for destruction
approval (just in case…)
93
Retention Log Contents
• Column contents:
– Document number
– Type/description of document
– From/to period
– Date document closed
94
Retention Log
•
•
•
•
Date document retrieved
Date returned to file
Date of destruction
Footer
95
Record Retention
• Forms to be utilized:
– Records retention log – 3 part form
– (assuming it’s a hard-copy document)
• Original – placed in storage container
• 1-copy—retained by RM manager
• 1-copy—retained by originating department
96
Record Retention Sample Log
LOGO
RECORD RETENTION LOG
DATE:_____ DEPT.NO._____
NAME:__________________
RETENTION PERIOD:_______YR DESTRUCT
DATE:______
DESTRUCT AUTHORIZATION: DIRECTOR
PREPARED BY:__________________ EXT:_________
DOCUMENT INFORMATION:
NO
TYPE/DES
C.
PERIOD: DATE
FROM/TO CLSD
RTVL RTN
DATE DAT
E
DSTK
DATE
*
97
Record Retention Center Operation
• Record retention label:
– Affixed to all containers
– Location information retained in records
manger’s master files for rapid retrieval
– Defines all contents in box, with dates!
98
Record Retention Sample Label
TRIBAL LOGO
BOX NUMBER:_________
LOC:_______
RECORD CLASS: VITAL
DOCUMENT
TYPE:__________
DATE TO RETENTION______
DEPT.NO._______
DEPT NAME:______________
DOC. PERIOD:
FROM:_______ TO:_______
NO. SEQUENCE:
FROM:_______TO:_______
RETENTION PERIOD:
____YEARS
DESTRUCT DATE:
_____NONE_________
__
METHOD:
___________________
_
DEPT. CONTACT:
DIRECTOR
99
Retention & Retrieval
• Retrieval procedures & forms:
– Who can authorize?
– What forms are to be utilized?:
• Out cards
• Requests for records
• Record charge-out
100
Lost Documents
• Search includes looking:
– In file folder
– In front & behind file folder
– Between folders
– In bottom of file, under all files
– Second, third or succeeding units of
alphabetized name
101
Lost Documents
• Checking for:
– Transposition - names or numbers
– Misspelling or alternate spelling of name
– Misfile:
• In prior or succeeding year
• Related subject file
• Checking to ensure:
– Document is not in transit
– Document was returned
– Awaiting re-file
102
Sample Records Policy
103
Forms and Reports Management
Forms & Reports Management
• Business form – most widely used business
document
– Communicates/controls information
within/outside organization
– Collects critical information
– Standardizes reports
– Effective/efficient use of labor & supplies
• Who can share with us one form that is either
outdated or ineffective in use in your office?
– Forms exercise
105
Forms Management Objectives
• Eliminate unnecessary/obsolete forms and
data required
• Consolidate forms when possible
• Eliminate unnecessary revisions
• Uniform size & design
• Cost effective inventory
106
Forms Design
• Must know:
– Quantity of users
– Purpose of form
– Quantity & frequency of use
• Must consult users
• Must solicit comments with draft
107
Forms Design
• Form design specifics:
– Tribal logo-(authorized form)
– Clear & explicit title – describes
purpose/information
contained
108
Forms Design
• Cataloged & identified
– Form number
– Issue date or revision level/date
• Examples:
– Original form: form #RR-0001 01/20__
– Revised form: form #rr-0001-rev.001/07-20xx
109
Forms Design
– Printed instructions
– User friendly – information requested in
sequence used
– Simple design – eliminate unnecessary
information/lines
– Standard size & type
– Standard terminology
110
Forms Design
• Preprint constant data
• Adequate spacing for data insertion
• Location of filing information to facilitate
rapid retrieval
• Analyze appearance
111
Forms Design
•
•
•
•
•
Test prior to making permanent
Multi-part vs. single page
Weight & grade of paper (if relevant)
Color
Quantities required
112
Form Files
• Three types:
– Numerical file–( in sequence by form
number) – contents:
•
•
•
•
All form information
Specification sheets
Order requests
Purchase order/print shop requisitions
113
Form Files
•
•
•
•
•
Correspondence pertaining to form
Copies of forms
Copies of all revisions to form
User information
Other pertinent information
114
Form Files
• Functional file (form sample classified by
function)
• Aids in consolidation
• Eliminates multiple forms for similar functions
• Prevents creation of unnecessary forms
115
Form Files
• Specifications file (classified by physical
characteristics or construction) – typical
categories:
•
•
•
•
Envelopes
Letterhead
Single page forms
Multi-part forms
116
Form Log
• Form log contents:
– Header with tribal logo & title
• Column information:
– Date of issue/revision
– Form number
117
Form Log Contents
•
•
•
•
•
•
•
•
•
Revision level
Form title
Form replaced
Dept. No.
Requesting dept
Date requested
Date removed from service
Replaced by form no.
Footer with form no., Revision level & date
118
Management of Reports
• Reports:
– Formal summary of collected information
transmitted to others
– Travels through various levels of
management
119
Management of Reports
• All reports should be analyzed and
managed based on:
– Cost
– Organizational responsibilities
– Staff responsibilities
– Successfulness/usefulness of reports used
120
Report Contents
• Information reported must be:
–
–
–
–
–
Timely/current
Concise
Accurate
Complete
Unbiased
• Well-written report principles:
– Standardized format for type of report
– Contents include:
• Tribal logo
• Report title
• Date issued
121
Report Contents
•
•
•
•
•
Report period covered
Preparer’s name, dept, extension
Reason for report
Requestor’s name, dept, extension
Confidentiality of information
122
Report Contents
• Issue/ situation requiring report
• Findings – facts which pertain to the report
& sources
• Summary of findings
• Conclusions, recommendations, or actions
required– based on facts presented
123
Report Contents
• Distribution – to those who have a “need to
know” only
• Signature of preparer
• Footer with:
– Form no.
– Revision level & date
124
Records Retention, Disposal and
the Law
Records Retention, Disposal & the Law
• Record retention: period of time a record
must be retained
• Retention policy & procedures must
consider & address:
– How long?
– By whose authority?
126
Records Retention, Disposal & the Law
• Who can revise retention period?
• Tribal, legal, or contractual retention
requirements
• Categories & value of documents
• Inherent liability if not available
127
Retention Schedule Development
• Basic steps include development of:
– Records management team:
• Representative from each department
authorized to make departmental decisions
• Legal & tribal council representative
• Others as necessary
128
Retention Schedule Development
• Form(s) required to gather necessary
information during physical inventory
• Tribal endorsement – strategic
implementation plan to:
– Conduct physical inventory
– Develop tribal & departmental policies
129
Retention Schedule Development
• Establish retention schedules
• Set up filing systems for all records
• Prepare records as appropriate for
retention
• Establish records retention center
• Establish on-going staffing
130
Retention Schedule Development
• Inventory information gathered must
include:
– Types & value of records
– Access requirements
– Location of records
– Quantity of records
131
Retention Schedule Development
• Frequency of use
• Tribal, legal, contractual retention
requirements
• Purpose of record
• Contacts & person compiling data
132
Records to Retain for 1 Year
• This list is NOT comprehensive; it’s a
general guideline
• Receiving reports
• Requisitions
• Stenographers notebooks
• Stockroom withdrawal forms
133
Records to Retain for 3 Years
•
•
•
•
•
•
•
•
Bank deposit slips
Bank reconciliations
Budgets
Correspondence
(general)
Delivery receipts
Deposit slip copies
Equipment repair
records
Interim financial reports
• Insurance policies (after
expiration)
• Internal audit reports
• Internal reports (misc.)
• Physical inventory tags
• Petty cash records
• Purchase order copies
• Remittance statements
• Travel records
(employees)
134
Records to Retain for 5 Years
•
•
•
•
•
•
•
•
Bills of lading
Correspondence (accounting)
Cost accounting records
Freight drafts, bills, claims
Employee daily time reports
Time cards, tickets and clock records
Machinery maintenance records
Shipping tickets
135
Records to Retain for 6 Years
•
•
•
•
Commission reports
Equipment leases (after expiration)
Fire damage reports
Salesmen's commission reports
136
Records to Retain for 7 Years
•
•
•
•
•
•
•
•
•
•
•
•
•
Accident reports (settled)
Accounts payable and
receivable ledgers
Bank statements
Contracts and leases (expired)
Vendor contracts
Correspondence (credit and
collection)
Expense analysis and expense
distribution schedules
Invoices (issued or received)
Inventories of products,
materials & supplies
Employee earnings records
Employee paychecks
Customer ledger
Building maintenance records
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Manufactured stock records
Notes (cancelled)
Option records
Payroll records and summaries
including payments to
pensioners
Property damage reports
Purchase invoices
Sales invoices
Sales slips (cash & charge)
Stock and bond certificates
(cancelled)
Tax returns (payroll)
Tax returns (social security)
Time books
Uncollectible accounts records
Vouchers (copies)
W-2 Forms
137
Records to Retain
Permanently/Indefinitely
• Account ledgers
• Independent contractor
1099s
• Annual Financial Reports
• Applications for authorization
and issuance
• Appraisals
• Articles of Incorporation
• Audit reports
• Bonds (Records of Issuance)
• Cash books
• Charts of Accounts
• Capital Stock
Certificates (cancelled)
• Checks (cancelled for
important payments)
• Contracts and leases still in
effect
• Correspondence (legal and
important matters)
• Deeds, mortgages and bills
of sale
• Depreciation schedules
• Dividend register
• Financial reports (audited:
annual)
138
Records to Retain
Permanently/Indefinitely
• General and Private
ledgers (also end of year
trial balances)
• Insurance records, current
claims, policies
• Journal entries (year end)
• Plant ledger
• Stock ledger
• Minute books of Directors
and Stockholders
• Note register
• Patent records
•
•
•
•
•
•
•
•
•
•
•
Pension records
Plans and specifications
Property records
Purchases
Sales
Stockholder reports
Tax returns
Title papers
Trademark records
Union (Labor) Contracts
Warrants
139
Records Management Statistics
• Typical statistics for uniform records
management system:
– 43.6% - remain in the office
– 24.1% - disposed during inventory
– 32.3% - transferred to retention center
140
Record Retention Center Operation
• Records manager has oversight
• Communications with all organizations
within tribal enterprise
• Operational controls must be strictly
enforced
141
Record Retention Center Operation
• Policies & procedures & records
management manual must define:
– Preparation of records to transfer, i.e.:
• Preservation requirements
• Container specifications
• Labeling
142
Record Retention Center Operation
•
•
•
•
•
Authorized requests for retrieval of files
Charge out procedure
Follow-up procedures
Transfer from inactive to active
Security/environmental requirements
143
Record Retention Center Operation
• Forms to be utilized
• Charge-out/follow-up procedures:
– Standardized retrieval request form
– Required for all retrievals
– Must be signed by authorized department
representative
144
Record Retention Center Operation
• Charge-out/follow-up
• Logo
retrieval request
• Date:_____ dept.No._____ Dept name:_____
Auth.Rep:__________________
• Box no.______ Location:________
• Document_______________ class_______
• Reason:____________________________
• Return date:____________ returned:_____
• Follow-up date:_________
• RM representative:_____________________
145
Record Retention Center Operation
• Periodic transfer – move of active files to
inactive files within the workplace
• Continuous transfer – scheduled annual
move of inactive files from workplace to
record retention on specified date.
146
Record Retention Center Operation
• Storage:
– Low cost space
– Accessible
– Environmentally protected
– Adequate floor space & layout for projected
growth
147
Record Retention Center Operation
– Adequate security – fencing, on-site
personnel,
– Adequate equipment:
• Boxes & containers correct for media types
• Racks & handling equipment
• Hardware & software
148
Record Retention Center Operation
• Records disposal:
– On confirmed destruct date - shredding or
other methods as defined in:
• Tribal records management manual
• Policy & procedures
• Contracts/agreements
149
Federal Laws & Records Management
• Freedom of Information Act – FOIA (5
U.S.C. 552)
• Allows an agency to disclose information
held by agency to requestors
• Information provided on contracts to
agency can become subject to disclosure
150
Federal Laws & Records Management
– Grantee records submitted to federal
agency can become records for disclosure
151
Federal Laws & Records Management
• Nine exceptions to disclosure:
–
–
–
–
Classified documents
Internal personnel rules & practices
Information exempt under other laws
Confidential business information
152
Federal Laws & Records Management
– Internal government communications
– Personal privacy (personnel, medical &
similar files)
– Law enforcement
– Financial institutions
– Geological information
153
Federal Laws & Records Management
• FOIA – normally applies to federal agencies,
however:
– Federal grantee could become “federal
agency” if:
• Grant terms give grantee independent authority to
perform specific government actions
• Grantee makes decision adopted by government as
its own
•
154
Federal Laws & Records Management
• All business & confidential
• Data should be marked as “confidential” to
prevent disclosure.
155
Federal Laws & Records Management
• Under 638 contracts, the records
manager:
– Could act as liaison for acquiring
information from federal government
– Must honor written requests for information
from tribal members being served by such
contracts
– Requests must be written & reasonably
describe information requested
156
Federal Laws & Records Management
• Records manager must know &
understand the provisions of FOIA
• A fee may be charged for the preparation
& transmittal
• Initial response period is ten (10) days
• Extensions are permitted, if reasonable
157
Federal Laws & Records Management
• FOIA does not:
– Require entities seeking information to
demonstrate a need or reason for request
– Does not have an obligation to notify the
tribe that a request has been received
158
Federal Laws & Records Management
• Under FOIA tribes can request information
during the following five (5) contracting
phases:
• Deciding on whether to contract
• Contract application preparation
• Responding to requests for information – from
bureau during contract application review
process
159
Federal Laws & Records Management
– Preparing to begin operations after
contract award
– During the operation of program
– Requested information could include past,
present, and projected program budgets as
operated by the bureau
160
Federal Laws & Records Management
• The privacy act (5 u.S.C. 552a):
• Safeguards against invasion of privacy
through misuse of records by federal
agencies
161
Federal Laws & Records Management
• Four basic goals:
– Reduce personal information retained by federal
agencies
– Increase individual access to personal information
– Permit individuals to amend false inaccurate data
– Restrict dissemination of personal data by federal
agencies to others
162
Federal Laws & Records Management
• Certain provisions {552a(m)} apply to
contractors & grantees when you maintain
a system of records on behalf of a federal
agency
163
Federal Laws & Records Management
• These provisions apply for example if:
– Under contract NIH you operate a cancer
screening clinic & experimental treatments
are also given
• You use a system of medical records
maintained by NIH in the course of their official
work
• You generate new or expanded records which
will go into their system
164
Federal Laws & Records Management
• Most requests for corrections are
approved
• Two broad exceptions to privacy act are:
– CIA records
– Law enforcement records – investigative,
arrest & disposition records. (Normally can
not gain access or correct these records)
165
Federal Laws & Records Management
• Seven (7) specific exemptions to privacy
act:
– Properly (federally) classified records
– Investigatory material compiled for law
enforcement use
– Required by statute to be maintained &
used for statistical records
– Protective information maintained by secret
service
166
Federal Laws & Records Management
– Suitability of employment information – to
protect information source only.
– Testing or examination material
– Armed forces promotion evaluation
material
– An individual can only correct information
about himself, not others, unless under
his/her name
167
Federal Laws & Records Management
– Only privacy act records may be
corrected.
• Inaccurate FOIA records can only be corrected
if the same records are part of a system of
records subject to the privacy act.
– Tribe’s should have a privacy protection
policy & procedure
168
Federal Laws & Records Management
• Grants & contracts - administrative
provisions
– Require tribes maintain records:
• Program performance
• Financial activities
169
Federal Laws & Records Management
• Retention period: 3 years from:
– Final disposition of nonexpendable
property
– 3 years last action under contract
– Based on time frame for last action
– Term can extend to a retention of several
years
170
Federal Laws & Records Management
• Most grants & contracts have provision
that:
– Tribes must, at reasonable times, make
available, program records
171
To Be Effective, Must Include:
•
•
•
•
•
Filing systems
Records inventory & appraisal
Records retention & disposition
Central retention center
Vital records control
172
To Be Effective, Must Include:
•
•
•
•
•
Control of all media
Word processing – e-mail transmissions
Copy reproduction control
Supply/equipment standardization
Policies & procedures
173
Must Enable Management
•
•
•
•
Fast accessibility to all records
Plan based on past experiences
To make informed decisions
To develop short & long term strategic
plans
174
Must Enable Management
• Review employee’s past performance –
personnel files
• Evaluate statistical data
• Track assets, liabilities, purchases, etc.
• To comply with tribal, contractual & legal
requirements
175
Factors for Consideration
• Planning - growth rate of records:
– Expansion – tribal enterprises
– Tribal policies
– Grants
– Contractual requirements
– Gaming
– Other?
176
Factors for Consideration
• Expense:
– Administrative assistant’s time
– Mailing
– Writer’s salary
– Filing cost
– Floor space required & cost
177
Factors for Consideration
– Equipment
– Supplies
– Labor
– Security/environmental
– Miscellaneous – (utilities, loss prevention)
178
Factors for Consideration
• Record manager’s responsibilities:
– Inspect contents – determine filing method
– Oversight & guidance – management &
organizations
– Policies & procedures
– Records manual updates
179
Factors for Consideration
•
•
•
•
•
Forms control
Audits
Training
Analyzes, organize & categorize records
Knowledge of records management
180
Factors for Consideration
• What type of records (categories) do you
have?
– Vital?
– Important?
– Useful?
– Nonessential?
181
Record Retention Policies
• 1. The guidelines for field locations (exhibit A) are a
summary of the regulations and represent the minimum
time period for retention.
• 2. The office manager and plant manager are responsible
for enforcing this policy within the respective plant
locations.
• 3. At the time the retention period has expired, the
responsible party will write a letter to the corporate
controller requesting permission to dispose of records.
The letter should state the record description, time period
covered by the records, and the proposed method of
destruction.
182
Record Retention Policies (continued)
• 4. Company records should be disposed of in a secure
manner so as not to divulge confidential material to the
general public. It is suggested that bulky records that are
ready for destruction be accumulated until it is practical
and economical to contract for a secure document
destruction service to perform the destruction.
• 5. Records that are identified as "permanent" should be
neatly boxed in an organized manner in transit files and
labeled as to their contents. The label should clearly state
that the records are to be permanently retained.
183
Record Retention Policies (continued)
• 6. Records should be stored in a safe, dry
environment in a location that is not
accessible to unauthorized personnel.
• 7. This policy does not cover all records
that may be required to be retained. All
department managers, office managers
and plant managers have the responsibility
to retain all other important documents that
are not listed in this policy.
184
Retention Requirements
a. More than 1,000 federal record retention
requirements listed in the Guide to
Record Retention Requirements found at
36 CFR 1236
b. Uniform Preservation of Private Business
Records Act
c. Federal Paperwork Reduction Act of 1990
d. 3 year default
185
Statutes of limitation
a. Period of time during which an aggrieved
party can start a lawsuit against another.
b. May need your documents to protect tribe
from suit.
c. Example: receipt to show tribe paid for
lawnmower.
186
Litigation
a. retention policy decreases number of
obsolete documents.
b. monetary burden of discovery.
c. documents can help and hurt.
d. spoilation of evidence
e. minimize inadvertent disclosure and
violation of privacy
187
Components of Retention Program
a.
b.
c.
d.
evaluate which documents to keep
identify medium (method)
identify length of time
provide for systematic destruction of
obsolete and unnecessary records
188
Protecting Records –
Common Sense List
1. Heightened issue sensitivity of tribal
personnel
“It’s just paper.”
2.
3.
4.
5.
Central filing
Central filing officer
Ordinance declaring confidentiality
Limiting access
189
Protecting Records-Common Sense List
(Cont.)
6. Indexing
7. Components of files and numbering
system
8. Duplication by microfiche
9. Off-site storage of microfiche
10. Fire-proof systems
11. Date stamp
12. Policy/Ordinance regarding disclosure
190
Protecting Records—
Common Sense List (Cont.)
13. Understanding the attorney-client
privilege
14. Confidential filing systems
• overuse of the secret drawer
• designated area
• tracking system
• disclosure to governing body
191
Protecting Records—
Common Sense List (Cont.)
15. Record retention and disposal
16.Special consideration
• medical records
• personnel records
• child welfare records
• CD records
192
Confidentiality
• Motivations for Maintaining Confidentiality
– Law compels it
– Your employer mandates it
– Risk of getting sued - Wal-Mart case
– Ethically it is a must
– Before confidentiality analysis, let us talk
about when you are compelled to breach a
confidence.
193
Agency Rules Regarding Records
Management
• Agency must establish procedures allowing
individuals to see and copy record about
themselves.
• Individual has right to amend records that are
not accurate, relevant, timely or complete.
• Agency must publish system of records. No
secret records systems.
194
Agency Rules Regarding Records
Management (Cont.)
• Duty of agency to keep accurate and timely
records.
• Information gathered for one purpose
generally may not be used for another
purpose.
• Judicial remedies and criminal sanctions
enforce compliance with Privacy Act.
195
Legislation Impacting ERM
•
•
•
•
•
Ensuring compliance with ISO 15489
DIRKS and MOREQ
The Freedom of Information Act
HIPAA
Government Paperwork Elimination Act
196
Legislation Impacting ERM
• In the past, 'records management' was
sometimes used to refer only to the
management of records which were no longer
in everyday use but still needed to be kept.
Called ‘Archived” or 'semi-current' or 'inactive'
records, often these are stored in your
basements or offsite.
• More modern usage tends to refer to the
entire 'lifecycle' of records - from the point of
creation right through until their eventual
disposal.
197
Legislation Impacting ERM
• The ISO 15489 : A 2001 standard defines
records management as "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".
198
Legislation Impacting ERM
• ISO 15489: 2001 states that records management
includes:
•
•
•
•
•
Setting policies and standards,
Known as a “Record Retention Schedule”
Assigning responsibilities and authorities to someone
Establishing and promulgating procedures and guidelines
Providing a range of services relating to the management
and use of records
• Designing, implementing and administering specialized
systems for managing records
• Integrating records management into business systems
and processes.
199
Legislation Impacting ERM
•
DIRKS or Design and Implementation of Recordkeeping System is
a methodology including eight-step process for the achievement of
good practice in records management practice.
•
The methodology consists of the following eight steps:
•
•
•
•
•
•
•
•
Preliminary investigation (Step 1);
Analysis of business activity (Step 2);
Identification of recordkeeping requirements (Step 3);
Assessment of existing systems (Step 4);
Identification of strategies for recordkeeping (Step 5);
Design of a recordkeeping system (Step 6);
Implementation of a recordkeeping system (Step 7); and
Post-implementation review (Step 8).
200
Freedom of Information Act
• With the ongoing stress on both constitutional
and inherent rights of American citizens and the
added assertion of government subservience to
the individual, some thought it was necessary for
government information to be available to the
public.
• However, the sensitivity of some government
information and private interests clash with this
view. Therefore, Congress attempted to enact a
Freedom of Information Act in 1966 that would
effectively deal with requests for government
records, consistent with the belief that the people
have the “right to know” about them.
201
Freedom of Information Act
However, it is in the exemptions to information under these acts that problems arise. The nine exemptions to
the FOIA address issues of sensitivity and personal rights.
1. Items specifically authorized under criteria established by an Executive order to be kept secret in the
interest of national defense or foreign policy and are in fact properly classified
2. Items related solely to the internal personnel rules and practices of an agency
3.Items specifically exempted from disclosure by statute, provided that such statute requires that the matters
be withheld from the public in such a manner as to leave no discretion on the issue, or establishes particular
criteria for withholding or refers to particular types of matters to be withheld
4. Trade secrets and commercial or financial information obtained from a person and confidential
5. Inter-agency or intra-agency memoranda or letters which would not be available by law to a party other
than an agency in litigation with the agency
6.Personnel and medical files that would constitute a clearly unwarranted invasion of personal privacy
7.Records or information compiled for law enforcement purposes, but only to the extent that the production of
such law enforcement records or information (A) could reasonably be expected to interfere with enforcement
proceedings, (B) would deprive a person of a right to a fair trial or an impartial adjudication, could reasonably
be expected to disclose the identity of a confidential source, furnished on a confidential basis, or would
disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose
guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be
expected to risk circumvention of the law, or could reasonably be expected to endanger the life or physical
safety of any individual
8.Items contained in or related to examination, operating, or condition reports prepared by, on behalf of, or for
the use of an agency responsible for the regulation or supervision of financial institutions
9.Geological and geophysical information and data, including maps, concerning wells.
202
Electronic Freedom of Information Act
The Electronic Freedom of Information Act Amendments of
1996 (E-FOIA) stated that all agencies are required by
statute to make certain types of records, created by the
agency on or after November 1, 1996, available
electronically.
Agencies must also provide electronic reading rooms for
citizens to use to have access to records.
Given the large volume of records and limited resources,
the amendment also extended the agencies' required
response time to FOIA requests. Formerly, the response
time was ten days and the amendment extended it to
twenty days
203
Electronic Freedom of Information Act
The Privacy Rule provides federal
protections for personal health information
held by covered entities and gives patients
an array of rights with respect to that
information.
At the same time, the Privacy Rule is
balanced so that it permits the disclosure of
personal health information needed for
patient care and other important purposes.
204
HIPPA
205
Health Insurance Portability and
Accountability Act
• The Health Insurance Portability and
Accountability Act (HIPAA) was enacted by the
U.S. Congress in 1996.
• Title II of HIPAA, known as the Administrative
Simplification (AS) provisions, requires the
establishment of national standards for
electronic health care transactions and national
identifiers for providers, health insurance plans,
and employers.
206
HIPAA (continued)
• This is intended to help people keep their
information private, though in practice it is
normal for providers and health insurance
plans to require the waiver of HIPAA rights as
a condition of service.
• The provisions also address the security and
privacy of health data. The standards are
meant to improve the efficiency and
effectiveness of the nation's health care system
by encouraging the widespread use of
electronic data interchange in the U.S. health
care system.
207
Government Paperwork Elimination Act
GPEA is an important tool to improve customer service and
governmental efficiency through the use of information technology.
This improvement involves transacting business electronically with
Federal agencies and widespread use of the World Wide Web.
GPEA seeks to "preclude agencies or courts from systematically
treating electronic documents and signatures less favorably than
their paper counterparts", so that citizens can interact with the
Federal government electronically.
It requires Federal agencies, by October 21, 2003, to provide
individuals or entities that deal with agencies the option to submit
information or transact with the agency electronically, and to
maintain records electronically, when practicable
208
Electronic Signature
• A signature is a stylized script associated
with a person. It is comparable to a seal. In
commerce and the law, a signature on a
document is an indication that the person
adopts the intentions recorded in the
document.
• An electronic signature is any legally
recognized electronic means that indicates
that a person adopts the contents of an
electronic message.
209
Electronic Signature (continued)
• The U.S. Code defines an electronic
signature as "an electronic sound, symbol, or
process, attached to or logically associated
with a contract or other record and executed
or adopted by a person with the intent to sign
the record." It may be an electronic
transmission of the document.
• The concept itself is not new, with common
law jurisdictions having recognized telegraph
signatures as far back as the mid-19th
century and faxed signatures since the 1980s.
210
Systematic disposal of records will:
a. reduce the cost of storing obsolete
records
b. increase efficiency of locating important
documents
211
Records Destruction
Types of Destruction
• For documents with no sensitivity issues,
standard recycling is appropriate
• If there is any doubt about whether an item
contains sensitive information, it should be
destroyed
• Usually, we’re talking about shredding,
demagnetizing (erasing), or pulverizing
213
Chad
• Do you remember the “hanging chads” of
the 2000 election?
• Chad can refer to the product of paper
shredders or pulverizers = paper debris
Distinquishing between Shredders
• The main differences between shredders
available are:
– Speed
– Volume
– Level of
destruction
A particularly slow model…
215
Cost Factors
• Generally, the faster the shredder can
process documents, the greater number of
documents it can process at a time, and
the more complex (or random) the shred,
the more expensive it will be
216
From Basic to Complex
• Strip-cut shredders
– Your “standard” home shredder
– Usually a sheet capacity of 6-8 pages
– Cuts into strips usually 3/8th inch or 1/2 inch
– Prices around $20-$75
– Does not produce
randomized chad
– Strips could be reassembled
– Least secure
217
Cross- or Confetti-Cut Shredders
• The next step up–
usually a capacity of
6-12 pages
• Use two drums that
rotate opposite
directions
• Shreds paper into
rectangular,
parallelogram, or
diamond-shaped
218
Particle Cut Shredder
• Similar capacity to
cross-/confetti-cut
shredders
• Creates tiny square
or circular chad
• $100-$400
219
Disintegrators/Granulators
• Multiple drums
continually cut the
paper at random
until the particles
are small enough to
pass through a
screen
• Very expensive to
own! (This one is
$9,780!)
220
Shredder Security Levels and
Cut Dimensions
For General Document Destruction
• Level 1
• Shred widths:
– Approximately 3/8”
strip cut
– Approximately 3/8” x
1 ½-3 1/8” cross cut
222
Destruction of Sensitive Internal Company
and/or Personal Documents Requiring
Higher Security than Level 1
• Level 2
• Strip Cut shred
widths:
– 1/8 in to 1/4
• Cross/Diamond Cut
shred ranges:
– 3/8 in x 1 1/2 in
223
Destruction of Confidential
Personal & Business Documents
• Level 3
• Strip Cut shred
width:
– Approximately 1/16”
• Cross Cut shred
width:
– Approximately 1/8” x
1 1/8 to 2”
224
Destruction of Confidential/Sensitive
Documents
• Level 4
• Approximately 1/6” x
9/16-5/8” Cross Cut
225
High Security Shredding
• Level 5
• Cross Cut shred
dimensions:
– 1/32 in x 7/16 in
226
Top Secret Documents
• Level 6
• Cross Cut shred
dimensions:
– 1/32 in x 3/16 in
227
Pulverization
228
Other Items to Destroy
CDs/DVDs/Diskettes
• Standard Shredders
– Many can accommodate discs, but usually
only 5-6 a day
– It doesn’t need to be completely shredded–
the disc just needs to be unreadable
• Optical Disc Grinders
– Grind off the data-containing surface of the
disc
230
Credit Cards
• Standard Shredders
– Many can accommodate plastic
231
Hard Drives/Thumb Drives
• Disintegration, incineration, pulverization,
shredding, melting, sanding, drilling holes,
and chemical treatment
• Doesn’t actually destroy data but makes
the media inoperable preventing data
recovery
• Should be carried out at an approved
facility by trained and authorized personnel
232
Do I really need to destroy hard drives?
• Stiennon’s recommendation was prompted by
BBC reports that Nigerian fraudsters have been
buying recycled hard drives from the U.K., then
diving into the data in search of usernames and
passwords for accessing online bank accounts.
According the BBC, drives are sold in the West
African country’s commercial capital of Lagos for
as little as 20 pounds ($37.87). Many of the
drives the BBC found in Lagos came from U.K.based recycling companies.
• Destroy Old Hard Drives To Fend Off Data
Thieves, by Gregg Keizer for Information Week,
August 21, 2006
233
234