Created May 2, 20081 Division of Public Health Managing Records What is a Record? What is a Records...

Created May 2, 2008 1

Division of Public HealthManaging Records

What is a Record?

What is a Records Retention &

Disposition Schedule?

Why is this Important?


Agenda

Introductions

Public Records Overview

Records Management Concepts

DPH Records Management Project

Q & A


Chapter 1Records/Laws

What is a Record

Record Types

Public Records Laws

State Agency Responsibilities


What is a Record?

A file/document that serves as evidence of

an organization’s business activities

all documents, papers, letters, e-mail,

notes, electronic data, maps, etc.

everything you do in the course of a day

to perform your job


Record Types

Paper

X-Ray, Film, Microfilm

Electronic


Records Lifecycle

Create/ Transfer/

Receive Capture Close Retire Destroy

Active Inactive


Comply with Laws

Required records available for audits or litigation

Obsolete records destroyed in a timely manner

Confidential records are protected


RecordsValue Descriptions

Short term value:• fax sheets; reservations & confirmations; routing slips; personal messages

(including electronic mail) not related to official business; documents downloaded from websites; rough drafts of working documents w/no specific value

Long term value:• Grants - specific federal funding; program may have more than one funding

source (retention of records dependent on funding resources)• Program schedules – records series types; Medicaid provider records (5

years after last date of service), adoption files (retained permanently)

Historical:• Document significant events, actions, decisions, conditions, relationships &

similar developments• Administrative, legal, fiscal or evidential importance for the government or its

citizens


State Agency Responsibilities

Public accessPersonal privacyAdmissibility requirements

• authentic• accurate• complete• timely• system integrity• controlled access


State Agency ResponsibilitiesSecurity (confidential records)

• paper records - locked; controlled access

• electronic records - password protected

Retention PreservationKeep schedule & records current


Chapter 1 Recap

Record – file/document serves as evidence of business activity

Record Types – paper, microfilm, electronic

Short-Term, Long-Term, Historical ValuePublic Records Laws - federal and stateState Agency Responsibilities


Chapter 2Concepts of Records ManagementRoles & Responsibilities

Benefits of a Schedule

General Schedule

Program Schedule


Roles & Responsibilities Public Health Staff – manage records & schedules

DPH Program Records Contacts – ensures office maintains program schedule

DPH Records Officer – coordinator for all records activities, programs and reports

DHHS Office of the Controller – semi-annually issues the DHHS Records Retention & Disposition Schedule for grants; authorizes when records may be destroyed

Department of Cultural Resources – State Records Center – work with agencies to develop workable schedule and disposition; archive records.


What is a Records Schedule?

Tool that:

inventories records

defines retention period

specifies means of disposition


Records Schedules

GeneralProgramDHHS Controller’s Office authorization

(semi-annually)

Destroy records past disposition


Benefits of Records Schedule

Ensures important records are organized, identifiable & maintained for easy retrieval

Helps preserve records that are valuable for historical research (State Records Center; Archives and History)

Conserves office space and saves money by regular disposition of inactive files

Stabilizes growth of records


General Schedule

All state agencies

Common records• HR files, announcement files, budget records• Standard retention period, disposition

No transfers to the State Record Center (SRC)


General Schedule (common records)


Program Records Schedule

Most offices will require a Program Schedule

• Describes records unique to your office/program (i.e. patient files, test results, statistical reports, certificates of live births)

Records may be transferred to State Records Center (SRC)


DPH Program Schedules

One for each PROGRAM in the PMD• May have multiple separate schedules under

large programs

Records contacts assigned for each

program

All DPH staff need to be trained in basic records management


Program Schedule(records specific to your office)


Chapter 2 Recap

What is my Role? Manage Records & Schedules

General Schedule – common records to all offices, may not transfer to SRC

Program Schedule – records unique to my “office”, may transfer to SRC

Preserve Historical Records – State Records Center; Archives and History


Chapter 3Process & Procedures

Completing a Schedule

Managing your Records & Schedule

Resources


What do I Do?

Develop Schedule (inventory records)• Public Records Series Listing Form (GRB 99S)

Disposition instructions tailored to your particular needs, regulations and requirements

Or Update Schedule

• Public Records Series Listing Form (GRB 99S) Ensure all records are correct Add, update, or discontinue records as needed


Defining your Program Schedule What records are unique to your “program”? What is in the file? How long is retention? What is the disposition (i.e., shred, burn, bury)? What systems support your program? What grants support your program? What does the grant require for:

• records retention

• confidentiality

• destruction


Public Records Series Listing


How do I Handle Electronic Records?

Program schedule = content

IT schedule = system operations

All systems databases should be included


Email GuidelinesAsk yourself?

File It Toss It

issues policy; states decisions

reservations for travel

outlines procedures confirms appointments

shows action; gives guidance

personal messages

unique; not sure junk mail


Now What?

Your records are all scheduled and your files are clean, and then you...

Receive a media request for information

Discover some really old records

Receive a Notice of Destruction


Chapter 3 Recap

What do I do? - Develop Schedule or Update Schedule

How do I do it? – Inventory Records in the Office

Check the DHHS Office of the Controller Memo – Semi-annually


How do I Manage my Records & Schedule?

What is a schedule? • This document is a tool for employees in an office to use to manage the records in their office. Lists records

commonly found in an office and gives an assessment of value by indicating when records may be destroyed.

Why do I have to have a schedule? • It is the law. According to G.S. 121-5 and G.S. 123-3, you may only destroy public records with the consent

of the Department of Cultural Resources. DCR can only give consent if there is a schedule.

Who? • All Programs of DPH are required to have a Records Retention & Disposition Schedule.

How? • If you do not have a Records Retention & Disposition Schedule, you must develop one. Complete the

“Public Records Series Listing” form and return to the State Records Center.

When? • Schedules should be reviewed annually and inventory records. If the schedule needs updating (i.e.,

records no longer in use, disposition changes), complete the “Public Records Series Listing” form and return to the State Records Center.


Resources For questions regarding records, schedules, process and procedures call:

• Donna Gregory, DPH Records Officer (707-5064)

For questions regarding records scheduled for transfer and storage call:• Al Hargrove, State Records Center (807-7368)

DPH Employee Toolkit (http://www.ncpublichealth.com/employees/empInfo-policy.htm)

Government Records Branch of NC• Laws, Value, Agencies, Retention Schedules, Storage

State Agency Records• General Schedule, Record Officers, Forms, Workshops

State Records Center• Promotes efficient records management through training and development of retention guidelines• Provides storage for inactive and semi-active public records

(http://www.ah.dcr.state.nc.us/records/guidelines.htm)

http://www.ncpublichealth.com/employees/empInfo-policy.htm

http://www.ah.dcr.state.nc.us/records/guidelines.htm


Q & A

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