Records Retention and Destruction. 2 3 4 Introduction of Participants What is on your business card?...

Records Retention and Destruction

Introduction of Participants What is on your business card? What are your expectations for this course? Do you have any particular concerns? 5

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!

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

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

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

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?

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

12 Why Records Management? What is the alternative?

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

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

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

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?

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

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

21 Types of Records Vital records permanent retention Cannot be replaced Essential for the tribe or tribal organizations welfare

Vital Records Deeds/charters Legal documents constitutions, resolutions, court cases, compacts Enrollment documents General ledgers Operating agreements 22

23 Vital Records Tribal historic documents Tax documents Vital contracts Drawings & blueprints

24 Types of Records Important records long retention period These are records that are: Necessary for operations Cost & labor intensive to replace or reproduce

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

26 Important Records Financial statements Credit histories Reports Statistical records Sales/performance records Personnel files Diplomas Others?

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

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 wont 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 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

Preparing Your Records for Organization

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

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

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

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

44 Cross Reference Sample CROSS REFERENCE SHEET: Name or Subject: File No. Regarding: SEE: Name or Subject: File No.

Preparation of Records Attaching small pieces of paper to full sheet Utilization of proper repair/preservation materials: Archival quality Tape, sheet protectors, etc. 45

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!

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

Filing Methods

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

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

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 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

61 Numeric Filing Method Variety of types: Chronological Sequential Significant (codes) Decimal-numeric (generally obsolete) Alpha-numeric

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

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

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

65 Subject Filing Method Technically correct Terms subject to one interpretation No duplications

66 Filing Records Set aside a specific time File records in: Face up Most current date on top Place folder in drawer behind guide

67 Filing Records - Folders Re-file in same chronological place Maximum 20-25 sheets per folder Use reinforced folders as needed

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

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

Heres 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

76 Record Retention Areas Primary concerns: Accessibility Constraints Access frequency required Retrieval speed/mobility

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

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

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 Plain vs. colored Preprinted vs. plain Filing stools Racks Stationery supplies Markers Stamps 82

83 General Supplies Sorters Forms Storage containers: Paper CDs, DVDs Others?

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 (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

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

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 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

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 its a hard-copy document) Original placed in storage container 1-copyretained by RM manager 1-copyretained by originating department 96

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 *

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

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:__________

Retention & Retrieval Retrieval procedures & forms: Who can authorize? What forms are to be utilized?: Out cards Requests for records Record charge-out 100

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

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

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

106 Forms Management Objectives Eliminate unnecessary/obsolete forms and data required Consolidate forms when possible Eliminate unnecessary revisions Uniform size & design Cost effective inventory

107 Forms Design Must know: Quantity of users Purpose of form Quantity & frequency of use Must consult users Must solicit comments with draft

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

110 Forms Design Printed instructions User friendly information requested in sequence used Simple design eliminate unnecessary information/lines Standard size & type Standard terminology

111 Forms Design Preprint constant data Adequate spacing for data insertion Location of filing information to facilitate rapid retrieval Analyze appearance

112 Forms Design Test prior to making permanent Multi-part vs. single page Weight & grade of paper (if relevant) Color Quantities required

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

Form Files Correspondence pertaining to form Copies of forms Copies of all revisions to form User information Other pertinent information 114

115 Form Files Functional file (form sample classified by function) Aids in consolidation Eliminates multiple forms for similar functions Prevents creation of unnecessary forms

116 Form Files Specifications file (classified by physical characteristics or construction) typical categories: Envelopes Letterhead Single page forms Multi-part forms

Form Log Form log contents: Header with tribal logo & title Column information: Date of issue/revision Form number 117

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

119 Management of Reports Reports: Formal summary of collected information transmitted to others Travels through various levels of management

120 Management of Reports All reports should be analyzed and managed based on: Cost Organizational responsibilities Staff responsibilities Successfulness/usefulness of reports used

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

Report Contents Report period covered Preparers name, dept, extension Reason for report Requestors name, dept, extension Confidentiality of information 122

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

124 Report Contents Distribution to those who have a need to know only Signature of preparer Footer with: Form no. Revision level & date

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; its 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

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

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. Tribes 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

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

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

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

176 Factors for Consideration Planning - growth rate of records: Expansion tribal enterprises Tribal policies Grants Contractual requirements Gaming Other?

177 Factors for Consideration Expense: Administrative assistants time Mailing Writers salary Filing cost Floor space required & cost

Factors for Consideration Equipment Supplies Labor Security/environmental Miscellaneous (utilities, loss prevention) 178

Factors for Consideration Record managers responsibilities: Inspect contents determine filing method Oversight & guidance management & organizations Policies & procedures Records manual updates 179

180 Factors for Consideration Forms control Audits Training Analyzes, organize & categorize records Knowledge of records management

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.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

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

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

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.

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.)

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

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.

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

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

205 HIPPA

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.

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.

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

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.

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.

211 Systematic disposal of records will: a. reduce the cost of storing obsolete records b. increase efficiency of locating important documents

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, were 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 215 A particularly slow model

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 3/8 th 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 -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 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

Credit Cards Standard Shredders Many can accommodate plastic 231

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

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

Records Retention and Destruction. 2 3 4 Introduction of Participants What is on your business card?...

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Transcript of Records Retention and Destruction. 2 3 4 Introduction of Participants What is on your business card?...