Transcript of Records Retention and Destruction. 2 3 4 Introduction of Participants What is on your business card?...
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- Records Retention and Destruction
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- Introduction of Participants What is on your business card?
What are your expectations for this course? Do you have any
particular concerns? 5
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- 6 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!
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- 7 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
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- 8 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
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- 9 Agenda 1.What is a record? 2.Why records management?
3.Identifying types of records 4.Preparing your records for
organization 5.Filing records 6.Storing records 7.Creating
retention and retrieval policies 8.Forms and reports
management
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- 10 What Is a Record? Any form of recorded information created
by or communicated to the tribe or tribal organization: Papersticky
notes, memos, etc. Emails, voicemails, instant messages CDs, tapes,
disks Photographs Enrollment documents, health records, ledgers,
budgets Others?
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- The 4 Phase Record Life Cycle Control of four (4) phase record
life cycle 11 Creation Internal External Use and Maintenance Active
period Retention Storage after active period has ended (passive
period) Disposition/Destruction
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- 12 Why Records Management? What is the alternative?
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- 13 Why Records Management? Files are categorized &
preserved appropriately Eliminate creation & retention
Unnecessary records & copies Efficient & economical use
Files can be found and returned easily
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- 14 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
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- 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
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- 16 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?
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- Where are you on this spectrum? Collect everything, save
everything. No policies, or just a dont throw anything out that
looks important policy Throw everything away as soon as you are
finished with it. Codified retention schedules, committed
employees. Training program for new employees. Full and total
compliance of all departments. 17
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- 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
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- 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
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- Records Management Identifying the Types of Records
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- 21 Types of Records Vital records permanent retention Cannot be
replaced Essential for the tribe or tribal organizations
welfare
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- Vital Records Deeds/charters Legal documents constitutions,
resolutions, court cases, compacts Enrollment documents General
ledgers Operating agreements 22
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- 23 Vital Records Tribal historic documents Tax documents Vital
contracts Drawings & blueprints
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- 24 Types of Records Important records long retention period
These are records that are: Necessary for operations Cost &
labor intensive to replace or reproduce
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- 25 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 well talk more about that soon
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- 26 Important Records Financial statements Credit histories
Reports Statistical records Sales/performance records Personnel
files Diplomas Others?
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- Types of Records Useful RecordsImpact operations for a more
limited period, but are still useful Inconvenient, but not dire, if
lost Limited retention based on usefulness 27
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- Useful Records Can include: Letters Memos Business reports
Monthly tracking spreadsheets E-mails Meeting notes 28
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- 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
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- Nonessential Records Routine letters Publications Form letters
Interoffice memos Some e-mails Sticky notes 30
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- 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
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- When Classifying Records Content is what is important not
format. 32
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- 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 wont be able to just blame the records
manager! 33
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- Records Management Benefits Reduced liability Maximum service
to requestor Compliance with tribal policy Compliance with
contractual & legal retention requirements 34
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- Records Management Benefits Control record creation &
misuse Control of records retained only those necessary Protection
of records 35
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- Records Management Benefits Uniform system Minimized training
Reduction of labor hours Optimization of personnel 36
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- 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
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- Basic Steps to Records Retention Get a team together Even if
youre 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
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- Preparing Your Records for Organization
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- 40 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
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- 41 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 cross-
referenced as both Instructor Information and Class
Information
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- Cross Reference Sample Original Card Hart, Mrs. Ethel Kain Mrs.
Ethel Louise Hart 136 Fork Avenue Cheyenne, MT 59101 Cross
Reference Card Kain, Ms. Ethel Louise See: Hart, Mrs. Ethel Louise
42
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- Cross Reference Sample Original Card Sprecksville Towing Mr.
James Dillen, owner operator 2254 W. 8 th St. Pendleton, OR 62843
Cross Reference Card Dillen, Mr. James Owner operator Sprecksville
Towing 2254 W. 8 th St. Pendleton, OR 62843 43
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- 44 Cross Reference Sample CROSS REFERENCE SHEET: Name or
Subject: File No. Regarding: SEE: Name or Subject: File No.
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- Preparation of Records Attaching small pieces of paper to full
sheet Utilization of proper repair/preservation materials: Archival
quality Tape, sheet protectors, etc. 45
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- 46 Preparation of Records Removal of all unnecessary: Staples
Paper Clips Exception: Packages Copies Especially if you are going
electronic, or if thats a goal of your organization this will
majorly simplify things later!
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- 47 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
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- Filing Methods
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- Many options well discuss the most common Dependant upon types
of record you are organizing It wouldnt 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
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- 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, alpha- chronologic, etc.) 50
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- Filing Methods Note: except for chronologic filing, the
previous methods use alphabetic concept in their operation,
therefore: Two basic systems: alphabetic & numeric 51
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- 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
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- 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
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- Uniform Filing System: Advantages Eliminate errors in record
destruction Pre-determined record retention schedule Reduction
total labor & equipment costs 54
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- Alphabetic & Alphabetic/Numeric Filing Methods Oldest &
simplest methods Most widely used File division: alphabetic
Alphabetic indexing Clearly defined rules 55
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- Alphabetic Filing Method Alphabetic indexing: Surname key unit
First name secondary unit Defined rules for alphabetizing all
components of name 56
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- 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
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- Alphabetic Filing Method Rules for alphabetizing: Names in
alphabetic sequence No abbreviations Seniority titles are identity
elements 58
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- Geographic Filing Method Location - primary filing reference
Geographic hierarchy subdivision, i.e.: Nation/state/county City
Facility, etc. 59
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- 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 persons 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
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- 61 Numeric Filing Method Variety of types: Chronological
Sequential Significant (codes) Decimal-numeric (generally obsolete)
Alpha-numeric
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- 62 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
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- 63 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
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- 64 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
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- 65 Subject Filing Method Technically correct Terms subject to
one interpretation No duplications
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- 66 Filing Records Set aside a specific time File records in:
Face up Most current date on top Place folder in drawer behind
guide
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- 67 Filing Records - Folders Re-file in same chronological place
Maximum 20-25 sheets per folder Use reinforced folders as
needed
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- 68 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 (dont just stuff em in) Do not
grasp by guides & folders by index tabs
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- Centralized or Decentralized Storage
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- Centralized vs. Decentralized Centralized: all files maintained
in one (1) location normally a retention center Decentralized:
files maintained in more than one location 70
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- 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
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- Heres What It Looks Like 72
http://www.cintas.com/documentmanagement/Do cumentStorage.aspx
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- Centralized vs. Decentralized Centralized: Off-site, secure,
environmentally protected storage of all originals of vital
documents Record retention center storage of: Important Useful
73
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- Original Documents Original documents must never: Be used as
working copies. Be marked on Be handled on a routine basis 74
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- Record Retention Areas Must have: Adequate space for minimum
five years projected growth Safety Security/access controls
Environmental controls 75
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- 76 Record Retention Areas Primary concerns: Accessibility
Constraints Access frequency required Retrieval speed/mobility
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- 77 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
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- 78 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
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- Equipment & Supplies Foot print constraints: Height: Space
saving: 5 drawer Standard: 4 drawer Counter high: 3 drawer Desk
high: 2 drawer 79
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- Open Shelf Filing 6, 7, or 8 shelves Multiple access Cost
effective Covered vs. coverless Manual vs. Automatic Damage and
climate considerations 80
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- General Supplies Pendaflex hangers vs. built-ins Plastic
folders vs. heavyweight cardboard Regular vs. expansion (accordion)
folders 81
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- General Supplies Filing guides material Out guides
size/shape/material Environmental concerns Labels Plain vs. colored
Preprinted vs. plain Filing stools Racks Stationery supplies
Markers Stamps 82
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- 83 General Supplies Sorters Forms Storage containers: Paper
CDs, DVDs Others?
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- Creating Retention and Retrieval Policies
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- First Step Records Inventory Creating record categories Every
department, subdepartment needs involvement 85
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- 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
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- Determining Retention Timeframe for Each Record Category
(contd) 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,
whats the plan? Dispose? Destroy? Transfer? 87
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- Retention & Retrieval Records management manual &
department P&Ps must clearly define Purpose of uniform system
The records manager authority & responsibilities vs.
departmental authority & responsibilities The library at the
University of Cologne, Germany Definition of terms used 88
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- Records Management Manual & Departmental P&Ps Record
categories Alphabetizing methods Color coding methods Retention
periods 89
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- Records Management Manual & Departmental P&Ps
Confidentiality requirements labeling or stamping of designated
documents as: Confidential Private Personal Proprietary 90
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- 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
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- Retention Log Contents Header with: Tribal logo Date of issue
Department number and/or name Name of person preparing form &
retention box 92
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- Retention Log Contents Retention box number Location Retention
period Destruction date Its 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
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- Retention Log Contents Column contents: Document number
Type/description of document From/to period Date document closed
94
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- Retention Log Date document retrieved Date returned to file
Date of destruction Footer 95
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- Record Retention Forms to be utilized: Records retention log 3
part form (assuming its a hard-copy document) Original placed in
storage container 1-copyretained by RM manager 1-copyretained by
originating department 96
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- Record Retention Sample Log 97 LOGO RECORD RETENTION LOG
DATE:_____ DEPT.NO._____ NAME:__________________ RETENTION
PERIOD:_______YR DESTRUCT DATE:______ DESTRUCT AUTHORIZATION:
DIRECTOR PREPARED BY:__________________ EXT:_________ DOCUMENT
INFORMATION: NOTYPE/DES C. PERIOD: FROM/TO DATE CLSD RTVL DATE RTN
DAT E DSTK DATE *
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- Record Retention Center Operation Record retention label:
Affixed to all containers Location information retained in records
mangers master files for rapid retrieval Defines all contents in
box, with dates! 98
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- 99 Record Retention Sample Label 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 TRIBAL LOGO BOX
NUMBER:_________ LOC:_______ RECORD CLASS: VITAL DOCUMENT
TYPE:__________
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- Retention & Retrieval Retrieval procedures & forms: Who
can authorize? What forms are to be utilized?: Out cards Requests
for records Record charge-out 100
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- 101 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
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- 102 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
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- Sample Records Policy 103
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- Forms and Reports Management
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- 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
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- 106 Forms Management Objectives Eliminate unnecessary/obsolete
forms and data required Consolidate forms when possible Eliminate
unnecessary revisions Uniform size & design Cost effective
inventory
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- 107 Forms Design Must know: Quantity of users Purpose of form
Quantity & frequency of use Must consult users Must solicit
comments with draft
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- Forms Design Form design specifics: Tribal logo-(authorized
form) Clear & explicit title describes purpose/information
contained 108
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- 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
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- 110 Forms Design Printed instructions User friendly information
requested in sequence used Simple design eliminate unnecessary
information/lines Standard size & type Standard
terminology
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- 111 Forms Design Preprint constant data Adequate spacing for
data insertion Location of filing information to facilitate rapid
retrieval Analyze appearance
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- 112 Forms Design Test prior to making permanent Multi-part vs.
single page Weight & grade of paper (if relevant) Color
Quantities required
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- 113 Form Files Three types: Numerical file( in sequence by form
number) contents: All form information Specification sheets Order
requests Purchase order/print shop requisitions
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- Form Files Correspondence pertaining to form Copies of forms
Copies of all revisions to form User information Other pertinent
information 114
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- 115 Form Files Functional file (form sample classified by
function) Aids in consolidation Eliminates multiple forms for
similar functions Prevents creation of unnecessary forms
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- 116 Form Files Specifications file (classified by physical
characteristics or construction) typical categories: Envelopes
Letterhead Single page forms Multi-part forms
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- Form Log Form log contents: Header with tribal logo & title
Column information: Date of issue/revision Form number 117
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- 118 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
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- 119 Management of Reports Reports: Formal summary of collected
information transmitted to others Travels through various levels of
management
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- 120 Management of Reports All reports should be analyzed and
managed based on: Cost Organizational responsibilities Staff
responsibilities Successfulness/usefulness of reports used
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- 121 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
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- Report Contents Report period covered Preparers name, dept,
extension Reason for report Requestors name, dept, extension
Confidentiality of information 122
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- 123 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
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- 124 Report Contents Distribution to those who have a need to
know only Signature of preparer Footer with: Form no. Revision
level & date
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- Records Retention, Disposal and the Law
- Slide 126
- 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
- Slide 127
- 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
- Slide 128
- 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
- Slide 129
- 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
- Slide 130
- 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
- Slide 131
- Retention Schedule Development Inventory information gathered
must include: Types & value of records Access requirements
Location of records Quantity of records 131
- Slide 132
- Retention Schedule Development Frequency of use Tribal, legal,
contractual retention requirements Purpose of record Contacts &
person compiling data 132
- Slide 133
- Records to Retain for 1 Year This list is NOT comprehensive;
its a general guideline Receiving reports Requisitions
Stenographers notebooks Stockroom withdrawal forms 133
- Slide 134
- 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
- Slide 135
- 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
- Slide 136
- Records to Retain for 6 Years Commission reports Equipment
leases (after expiration) Fire damage reports Salesmen's commission
reports 136
- Slide 137
- 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
- Slide 138
- 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
- Slide 139
- 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
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- 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
- Slide 141
- Record Retention Center Operation Records manager has oversight
Communications with all organizations within tribal enterprise
Operational controls must be strictly enforced 141
- Slide 142
- Record Retention Center Operation Policies & procedures
& records management manual must define: Preparation of records
to transfer, i.e.: Preservation requirements Container
specifications Labeling 142
- Slide 143
- 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
- Slide 144
- 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
- Slide 145
- 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
- Slide 146
- 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
- Slide 147
- Record Retention Center Operation Storage: Low cost space
Accessible Environmentally protected Adequate floor space &
layout for projected growth 147
- Slide 148
- Record Retention Center Operation Adequate security fencing,
on-site personnel, Adequate equipment: Boxes & containers
correct for media types Racks & handling equipment Hardware
& software 148
- Slide 149
- 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
- Slide 150
- 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
- Slide 151
- Federal Laws & Records Management Grantee records submitted
to federal agency can become records for disclosure 151
- Slide 152
- Federal Laws & Records Management Nine exceptions to
disclosure: Classified documents Internal personnel rules &
practices Information exempt under other laws Confidential business
information 152
- Slide 153
- Federal Laws & Records Management Internal government
communications Personal privacy (personnel, medical & similar
files) Law enforcement Financial institutions Geological
information 153
- Slide 154
- 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
- Slide 155
- Federal Laws & Records Management All business &
confidential Data should be marked as confidential to prevent
disclosure. 155
- Slide 156
- 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
- Slide 157
- 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
- Slide 158
- 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
- Slide 159
- 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
- Slide 160
- 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
- Slide 161
- 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
- Slide 162
- 162 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
- Slide 163
- 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
- Slide 164
- 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
- Slide 165
- 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
- Slide 166
- 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
- Slide 167
- 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
- Slide 168
- 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. Tribes should have a privacy protection policy &
procedure 168
- Slide 169
- Federal Laws & Records Management Grants & contracts -
administrative provisions Require tribes maintain records: Program
performance Financial activities 169
- Slide 170
- 170 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
- Slide 171
- Federal Laws & Records Management Most grants &
contracts have provision that: Tribes must, at reasonable times,
make available, program records 171
- Slide 172
- To Be Effective, Must Include: Filing systems Records inventory
& appraisal Records retention & disposition Central
retention center Vital records control 172
- Slide 173
- To Be Effective, Must Include: Control of all media Word
processing e-mail transmissions Copy reproduction control
Supply/equipment standardization Policies & procedures 173
- Slide 174
- 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
- Slide 175
- 175 Must Enable Management Review employees past performance
personnel files Evaluate statistical data Track assets,
liabilities, purchases, etc. To comply with tribal, contractual
& legal requirements
- Slide 176
- 176 Factors for Consideration Planning - growth rate of
records: Expansion tribal enterprises Tribal policies Grants
Contractual requirements Gaming Other?
- Slide 177
- 177 Factors for Consideration Expense: Administrative
assistants time Mailing Writers salary Filing cost Floor space
required & cost
- Slide 178
- Factors for Consideration Equipment Supplies Labor
Security/environmental Miscellaneous (utilities, loss prevention)
178
- Slide 179
- Factors for Consideration Record managers responsibilities:
Inspect contents determine filing method Oversight & guidance
management & organizations Policies & procedures Records
manual updates 179
- Slide 180
- 180 Factors for Consideration Forms control Audits Training
Analyzes, organize & categorize records Knowledge of records
management
- Slide 181
- Factors for Consideration What type of records (categories) do
you have? Vital? Important? Useful? Nonessential? 181
- Slide 182
- 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
- Slide 183
- 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
- Slide 184
- 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
- Slide 185
- 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
- Slide 186
- 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
- Slide 187
- 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
- Slide 188
- Components of Retention Program a.evaluate which documents to
keep b.identify medium (method) c.identify length of time d.provide
for systematic destruction of obsolete and unnecessary records
188
- Slide 189
- Protecting Records Common Sense List 1.Heightened issue
sensitivity of tribal personnel Its just paper. 2.Central filing
3.Central filing officer 4.Ordinance declaring confidentiality
5.Limiting access 189
- Slide 190
- 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
- Slide 191
- 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
- Slide 192
- Protecting Records Common Sense List (Cont.) 15. Record
retention and disposal 16.Special consideration medical records
personnel records child welfare records CD records 192
- Slide 193
- 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
- Slide 194
- 194 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.
- Slide 195
- 195 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. Agency Rules Regarding Records
Management (Cont.)
- Slide 196
- Legislation Impacting ERM Ensuring compliance with ISO 15489
DIRKS and MOREQ The Freedom of Information Act HIPAA Government
Paperwork Elimination Act 196
- Slide 197
- 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
- Slide 198
- 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
- Slide 199
- 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
- Slide 200
- 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
- Slide 201
- 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
- Slide 202
- 202 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.
- Slide 203
- 203 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
- Slide 204
- 204 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. Electronic Freedom of Information Act
- Slide 205
- 205 HIPPA
- Slide 206
- 206 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.
- Slide 207
- 207 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.
- Slide 208
- 208 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 Government Paperwork Elimination Act
- Slide 209
- 209 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.
- Slide 210
- 210 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.
- Slide 211
- 211 Systematic disposal of records will: a. reduce the cost of
storing obsolete records b. increase efficiency of locating
important documents
- Slide 212
- Records Destruction
- Slide 213
- 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, were talking about shredding, demagnetizing
(erasing), or pulverizing 213
- Slide 214
- Chad Do you remember the hanging chads of the 2000 election?
Chad can refer to the product of paper shredders or pulverizers =
paper debris
- Slide 215
- Distinquishing between Shredders The main differences between
shredders available are: Speed Volume Level of destruction 215 A
particularly slow model
- Slide 216
- 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
- Slide 217
- From Basic to Complex Strip-cut shredders Your standard home
shredder Usually a sheet capacity of 6-8 pages Cuts into strips
usually 3/8 th inch or 1/2 inch Prices around $20-$75 Does not
produce randomized chad Strips could be reassembled Least secure
217
- Slide 218
- 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
- Slide 219
- Particle Cut Shredder Similar capacity to cross-/confetti-cut
shredders Creates tiny square or circular chad $100-$400 219
- Slide 220
- 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
- Slide 221
- Shredder Security Levels and Cut Dimensions
- Slide 222
- For General Document Destruction Level 1 Shred widths:
Approximately 3/8 strip cut Approximately 3/8 x 1 -3 1/8 cross cut
222
- Slide 223
- 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
- Slide 224
- 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
- Slide 225
- Destruction of Confidential/Sensitive Documents Level 4
Approximately 1/6 x 9/16-5/8 Cross Cut 225
- Slide 226
- High Security Shredding Level 5 Cross Cut shred dimensions:
1/32 in x 7/16 in 226
- Slide 227
- Top Secret Documents Level 6 Cross Cut shred dimensions: 1/32
in x 3/16 in 227
- Slide 228
- Pulverization 228
- Slide 229
- Other Items to Destroy
- Slide 230
- CDs/DVDs/Diskettes Standard Shredders Many can accommodate
discs, but usually only 5-6 a day It doesnt 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
- Slide 231
- Credit Cards Standard Shredders Many can accommodate plastic
231
- Slide 232
- Hard Drives/Thumb Drives Disintegration, incineration,
pulverization, shredding, melting, sanding, drilling holes, and
chemical treatment Doesnt 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
- Slide 233
- Do I really need to destroy hard drives? Stiennons
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 countrys 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. BBC reports Destroy Old Hard
Drives To Fend Off Data Thieves, by Gregg Keizer for Information
Week, August 21, 2006Destroy Old Hard Drives To Fend Off Data
Thieves, by Gregg Keizer for Information Week, August 21, 2006
233
- Slide 234
- 234