records retention and destruction

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?

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!

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

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

Agenda

1. What is a record?2. Why records management?3. Identifying types of records4. Preparing your records for organization5. Filing records6. Storing records7. Creating retention and retrieval policies8. Forms and reports management

What Is a Record?

• Any form of recorded information created by or communicated to the tribe or tribal organization:– Paper—sticky notes, memos, etc.– Emails, voicemails, instant messages– CDs, tapes, disks– Photographs– Enrollment documents, health records, ledgers,

budgets– Others?

The 4 Phase Record Life Cycle

• Control of four (4) phase record life cycle

Creation• Internal• External

Use and Maintenance• Active period

Retention• Storage after active

period has ended (passive period)

Disposition/Destruction

Why Records Management?

• What is the alternative?

• Files are categorized & preserved appropriately

• Eliminate creation & retention– Unnecessary records & copies

• Efficient & economical use– Files can be found and returned easily

• 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…

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 “don’t throw anything out that looks

important” policy

Codified retention schedules, committed employees.

Training program for new employees. Full and total

compliance of all departments.

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?

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

Records Management

Identifying the Types of Records

Types of Records

• Vital records– permanent retention– Cannot be replaced– Essential for the tribe or tribal

organization’s welfare

Vital Records

• Deeds/charters• Legal documents – constitutions,

resolutions, court cases, compacts• Enrollment documents• General ledgers• Operating agreements

Vital Records

• Tribal historic documents• Tax documents• Vital contracts• Drawings & blueprints

Types of Records

• Important records– long retention period• These are records that are:

– Necessary for operations– Cost & labor intensive to replace or

reproduce

Important Records

• Both active and inactive files – Active files are kept in work area– these

are files that need to be accessed regularly– Specified period for inactive files to be

retained in work area, then sent to central record retention area – this may be on-site or off-site – we’ll talk more about that soon

Important Records

• Financial statements• Credit histories• Reports• Statistical records• Sales/performance records• Personnel files• Diplomas• Others?

Types of Records

• Useful Records—Impact operations for a more limited period, but are still useful– Inconvenient, but not dire, if lost– Limited retention based on usefulness

Useful Records

• Can include:– Letters– Memos– Business reports– Monthly tracking

spreadsheets– E-mails– Meeting notes

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

Nonessential Records

• Routine letters• Publications• Form letters• Interoffice memos• Some e-mails• Sticky notes

Nonessential Records

• Same document redundancy– ****Extra copies*****– Two departments call one record two

different things and keep two different documents for the same records

When Classifying Records…

• Content is what is important— not format.

Records Management Benefits

• Space savings – +40% reduction on average• Reduction in misfiles and lost files• Reduced equipment/supplies costs• Faster retrieval• Ability to furnish current, accurate & complete

information• Increased accountability– if everyone knows their

role in the records management process, they won’t be able to just “blame the records manager!

• Reduced liability• Maximum service to requestor• Compliance with tribal policy• Compliance with contractual & legal

retention requirements

• Control record creation & misuse• Control of records retained – only those

necessary• Protection of records

• Uniform system• Minimized training• Reduction of labor hours• Optimization of personnel

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

Basic Steps to Records Retention

• Get a team together– Even if you’re a one-person records department, you

can get others involved• Get attorney support

– This is especially important for tribes and tribal org, as the laws that will apply to your situation will vary based on compacts, grants, etc.

• Compose your document list and categorize/assess your documents

• Create your rules, regulations, and retention schedule• Go electronic

Preparing Your Records for Organization

Preparation of Records

• Critical for proper filing & preservation• Review• Indexing & coding:

– Where is it filed?– Under what heading/name?– This is important when there is more than

one meaningful way to organize your files

• 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 KainMrs. Ethel Louise Hart136 Fork AvenueCheyenne, MT 59101

Cross Reference Card

Kain, Ms. Ethel Louise

See: Hart, Mrs. Ethel Louise

• Original Card

Sprecksville TowingMr. James Dillen,

owner operator2254 W. 8th St.Pendleton, OR 62843

Cross Reference Card

Dillen, Mr. JamesOwner operatorSprecksville Towing2254 W. 8th St.Pendleton, OR 62843

CROSS REFERENCE SHEET:

Name or Subject: File No.Regarding:SEE:Name or Subject: File No.

• Attaching small pieces of paper to full sheet

• Utilization of proper repair/preservation materials:– Archival quality – Tape, sheet protectors, etc.

• Removal of all unnecessary:– Staples– Paper Clips– Exception: Packages– Copies

• Especially if you are going electronic, or if that’s a goal of your organization – this will majorly simplify things later!

• 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 – we’ll discuss the most common• Dependant upon types of record you are

organizing– It wouldn’t make sense to organize patient files

first by the date of last visit, would it?– At the same time, does it make sense to keep

the records of every patient who ever visited in the office forever?

• How it will be retrieved• Other organization-sensitive information

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,

Filing Methods

• Note: except for chronologic filing, the previous methods use alphabetic concept in their operation, therefore:

• Two basic systems: – alphabetic & numeric

Filing Methods

• Documents: must first be categorized, then prepared for placement in file:– Alphabetic– Alphabetic/numeric– Geographic– Numeric– Subject– Color coding– Placement within file

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

Uniform Filing System: Advantages

• Eliminate errors in record destruction• Pre-determined record retention schedule• Reduction total labor & equipment costs

Alphabetic & Alphabetic/NumericFiling Methods

• Oldest & simplest methods• Most widely used• File division: alphabetic

– Alphabetic indexing– Clearly defined rules

Alphabetic Filing Method

• Alphabetic indexing:– Surname – key unit– First name – secondary unit– Defined rules for alphabetizing all

components of name

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)

Alphabetic Filing Method

• Rules for alphabetizing:– Names in alphabetic sequence– No abbreviations– Seniority titles are identity elements

Geographic Filing Method

• Location - primary filing reference• Geographic hierarchy subdivision, i.e.:

– Nation/state/county– City– Facility, etc.

Numeric Filing Method

• Often the practice of museums and archives– Unique number assigned document– Alphabetic index cross-references to numeric

assignment– For example: each enrollment record is given a

unique identifying number, and this is how they are organized. If I am looking for a specific person’s record, I will also need an alphabetic listing of the records by person so I can find the identifying number and locate the record

• Variety of types:– Chronological– Sequential– Significant (codes)– Decimal-numeric (generally obsolete)– Alpha-numeric

• 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

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

• 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”

• Technically correct• Terms subject to one interpretation• No duplications

Filing Records

• Set aside a specific time• File records in:

– Face up– Most current date on top– Place folder in drawer behind guide

Filing Records - Folders

• Re-file in same chronological place• Maximum 20-25 sheets per folder• Use reinforced folders as needed

Filing Records - Drawer

• Open only one file drawer at a time! (they can tip over surprisingly easily)

• Place miscellaneous folder at end of each section in drawer

• Use drawer guide every six to eight folders• Leave expansion/work space in drawer• Lift folder 1”-2” out of drawer to file documents

(don’t just stuff ‘em in)• Do not grasp by guides & folders by index tabs

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

• It varies, but tribes generally have:– Decentralized files in work place:

• Active• Inactive – depends of access frequency • Vital documents – work copies only• Important documents

Here’s What It Looks Like

72http://www.cintas.com/documentmanagement/DocumentStorage.aspx

• Centralized:– Off-site, secure, environmentally protected

storage of all originals of vital documents– Record retention center – storage of:

• Important• Useful

Original Documents

• Original documents must never:– Be used as “working” copies.– Be marked on– Be handled on a routine basis

Record Retention Areas

• Must have:– Adequate space for minimum – five years

projected growth– Safety– Security/access controls– Environmental controls

Record Retention Areas

• Primary concerns:– Accessibility– Constraints– Access frequency required– Retrieval speed/mobility

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

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

Open Shelf Filing

• 6, 7, or 8 shelves • Multiple access• Cost effective• Covered vs. coverless• Manual vs. Automatic• Damage and climate considerations

General Supplies

• Pendaflex hangers vs. built-ins• Plastic folders vs. heavyweight cardboard• Regular vs. expansion (accordion) folders

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

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

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?

Determining Retention Timeframe for Each Record Category (cont’d)

5. Who needs to access this information, and how often?Can it be store onsite or offsite?

6. How long does this record need to be retained?It may legally only need to be retained for 3 years,

but if it has value to your organization beyond that point, that must be considered.

7. What is this records was destroyed in a disaster?

8. When the records reaches the end of its lifecycle, what’s the plan? Dispose? Destroy? Transfer?

Retention & Retrieval

• Records management manual & department P&P’s must clearly define– Purpose of uniform system– The record’s manager authority &

responsibilities vs. departmental authority & responsibilities• The library at the University of Cologne,

Germany– Definition of terms used

Records Management Manual & Departmental P&Ps

• Record categories• Alphabetizing methods• Color coding methods• Retention periods

• Confidentiality requirements– labeling or stamping of designated documents as:– “Confidential”– “Private”– “Personal”– “Proprietary”

• Forms & labels to be utilized• Records preparation and preservation

methods• Retrieval methods• Retention log format – paper or electronic

(or both?)

Retention Log Contents

• Header with:– Tribal logo– Date of issue– Department number and/or name– Name of person preparing form & retention

• Retention box number• Location• Retention period• Destruction date

– It’s very important to denote this on the retention log and on the folder

• Title of person to contact for destruction approval (just in case…)

• Column contents:– Document number– Type/description of document– From/to period– Date document closed

Retention Log

• Date document retrieved• Date returned to file• Date of destruction• Footer

Record Retention

• Forms to be utilized:– Records retention log – 3 part form– (assuming it’s a hard-copy document)

• Original – placed in storage container• 1-copy—retained by RM manager• 1-copy—retained by originating department

Record Retention Sample Log

LOGO RECORD RETENTION LOGDATE:_____ DEPT.NO._____ NAME:__________________RETENTION PERIOD:_______YR DESTRUCT DATE:______DESTRUCT AUTHORIZATION: DIRECTORPREPARED BY:__________________ EXT:_________DOCUMENT INFORMATION:

NO TYPE/DESC.

PERIOD:FROM/TO

DATECLSD

RTVLDATE

RTNDATE

DSTKDATE*

Record Retention Center Operation

• Record retention label:– Affixed to all containers– Location information retained in records

manger’s master files for rapid retrieval– Defines all contents in box, with dates!

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 LOGOBOX 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

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

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

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

Forms Management Objectives

• Eliminate unnecessary/obsolete forms and data required

• Consolidate forms when possible• Eliminate unnecessary revisions• Uniform size & design• Cost effective inventory

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

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

Forms Design

– Printed instructions– User friendly – information requested in

sequence used– Simple design – eliminate unnecessary

information/lines– Standard size & type– Standard terminology

Forms Design

• Preprint constant data• Adequate spacing for data insertion• Location of filing information to facilitate

rapid retrieval• Analyze appearance

Forms Design

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

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

Form Files

• Functional file (form sample classified by function)

• Aids in consolidation• Eliminates multiple forms for similar functions• Prevents creation of unnecessary forms

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

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

Management of Reports

• Reports:– Formal summary of collected information

transmitted to others– Travels through various levels of

management

Management of Reports

• All reports should be analyzed and managed based on:– Cost– Organizational responsibilities– Staff responsibilities– Successfulness/usefulness of reports used

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• Preparer’s name, dept, extension• Reason for report• Requestor’s name, dept, extension• Confidentiality of information

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

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?

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

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

• Form(s) required to gather necessary information during physical inventory

• Tribal endorsement – strategic implementation plan to:– Conduct physical inventory– Develop tribal & departmental policies

• Establish retention schedules• Set up filing systems for all records• Prepare records as appropriate for

retention• Establish records retention center• Establish on-going staffing

• Inventory information gathered must include:– Types & value of records– Access requirements– Location of records– Quantity of records

• Frequency of use• Tribal, legal, contractual retention

requirements• Purpose of record• Contacts & person compiling data

Records to Retain for 1 Year

• This list is NOT comprehensive; it’s a general guideline

• Receiving reports • Requisitions • Stenographers notebooks • Stockroom withdrawal forms

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)

• 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

• Commission reports• Equipment leases (after expiration) • Fire damage reports • Salesmen's commission reports

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

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 StockCertificates (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)

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

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

• Records manager has oversight• Communications with all organizations

within tribal enterprise• Operational controls must be strictly

enforced

• Policies & procedures & records management manual must define:– Preparation of records to transfer, i.e.:

• Preservation requirements• Container specifications• Labeling

• Authorized requests for retrieval of files• Charge out procedure• Follow-up procedures• Transfer from inactive to active• Security/environmental requirements

• Forms to be utilized• Charge-out/follow-up procedures:

– Standardized retrieval request form– Required for all retrievals– Must be signed by authorized department

representative

• 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:_____________________

• 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.

• Storage:– Low cost space– Accessible – Environmentally protected– Adequate floor space & layout for projected

growth

– Adequate security – fencing, on-site personnel,

– Adequate equipment:• Boxes & containers correct for media types• Racks & handling equipment• Hardware & software

• Records disposal: – On confirmed destruct date - shredding or

other methods as defined in:• Tribal records management manual • Policy & procedures• Contracts/agreements

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

– Grantee records submitted to federal agency can become records for disclosure

• Nine exceptions to disclosure:– Classified documents– Internal personnel rules & practices

– Information exempt under other laws– Confidential business information

– Internal government communications– Personal privacy (personnel, medical

& similar files)– Law enforcement– Financial institutions– Geological information

• 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

• All business & confidential • Data should be marked as “confidential” to

prevent disclosure.

• 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

• 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

• 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

• 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

– 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

• The privacy act (5 u.S.C. 552a): • Safeguards against invasion of privacy

through misuse of records by federal agencies

• 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

• Certain provisions {552a(m)} apply to contractors & grantees when you maintain a system of records on behalf of a federal agency

• 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

• 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)

• 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

– 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

– Only privacy act records may be corrected. • Inaccurate FOIA records can only be corrected

if the same records are part of a system of records subject to the privacy act.

– Tribe’s should have a privacy protection policy & procedure

• Grants & contracts - administrative provisions– Require tribes maintain records:

• Program performance• Financial activities

• 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

• Most grants & contracts have provision that:– Tribes must, at reasonable times, make

available, program records

To Be Effective, Must Include:

• Filing systems• Records inventory & appraisal• Records retention & disposition• Central retention center• Vital records control

To Be Effective, Must Include:

• Control of all media• Word processing – e-mail transmissions• Copy reproduction control• Supply/equipment standardization• Policies & procedures

Must Enable Management

• Fast accessibility to all records• Plan based on past experiences• To make informed decisions• To develop short & long term strategic

Must Enable Management

• Review employee’s past performance – personnel files

• Evaluate statistical data• Track assets, liabilities, purchases, etc.• To comply with tribal, contractual & legal

requirements

Factors for Consideration

• Planning - growth rate of records:– Expansion – tribal enterprises– Tribal policies– Grants– Contractual requirements– Gaming– Other?

• Expense:– Administrative assistant’s time– Mailing– Writer’s salary– Filing cost– Floor space required & cost

– Equipment– Supplies – Labor– Security/environmental– Miscellaneous – (utilities, loss prevention)

• Record manager’s responsibilities:– Inspect contents – determine filing method– Oversight & guidance – management &

organizations– Policies & procedures– Records manual updates

• Forms control• Audits• Training• Analyzes, organize & categorize records• Knowledge of records management

• What type of records (categories) do you have?– Vital?– Important?– Useful?– Nonessential?

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.

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.

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.

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 1990d. 3 year default

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.

Litigation

a. retention policy decreases number of obsolete documents.

b. monetary burden of discovery.c. documents can help and hurt.d. spoilation of evidencee. minimize inadvertent disclosure and

violation of privacy

Components of Retention Program

a. evaluate which documents to keepb. identify medium (method)c. identify length of timed. provide for systematic destruction of

obsolete and unnecessary records

Protecting Records –Common Sense List

1. Heightened issue sensitivity of tribal personnel

“It’s just paper.”2. Central filing3. Central filing officer4. Ordinance declaring confidentiality5. Limiting access

Protecting Records-Common Sense List (Cont.)

6. Indexing7. Components of files and numbering

system8. Duplication by microfiche9. Off-site storage of microfiche10. Fire-proof systems11. Date stamp12. Policy/Ordinance regarding disclosure

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

Protecting Records—Common Sense List (Cont.)

15. Record retention and disposal16.Special consideration

• medical records• personnel records• child welfare records• CD records

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.

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.

• 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

• 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.

• 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".

• 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.

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).

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.

Freedom of Information ActHowever, 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 privacy7. 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.

Electronic Freedom of Information ActThe 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

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

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.

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.

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

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.

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.

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, we’re talking about shredding, demagnetizing (erasing), or pulverizing

• 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

215A 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

From Basic to Complex

• Strip-cut shredders– Your “standard” home shredder– Usually a sheet capacity of 6-8 pages– Cuts into strips usually 3/8th inch or 1/2 inch– Prices around $20-$75– Does not produce randomized chad– Strips could be reassembled– Least secure

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

Particle Cut Shredder

• Similar capacity to cross-/confetti-cut shredders

• Creates tiny square or circular chad

• $100-$400

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!)

Shredder Security Levels and Cut Dimensions

For General Document Destruction

• Level 1• Shred widths:

– Approximately 3/8” strip cut

– Approximately 3/8” x 1 ½-3 1/8” cross cut

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

Destruction of ConfidentialPersonal & Business Documents

• Level 3• Strip Cut shred

width:– Approximately 1/16”

• Cross Cut shred width:– Approximately 1/8” x

1 1/8 to 2”

Destruction of Confidential/Sensitive Documents

• Level 4• Approximately 1/6” x

9/16-5/8” Cross Cut

High Security Shredding

• Level 5• Cross Cut shred

dimensions:– 1/32 in x 7/16 in

records retention and destruction

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